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Monica Gomes

Junior Consultant at TNPL

Last Login: 06 September 2022

Job Views:  
60
Applications:  8
Recruiter Actions:  0

Job Code

960460

Manager - Electronic Communication Surveillance

8 - 10 Years.Mumbai
Posted 3 years ago
Posted 3 years ago

- Responsible for the surveillance of electronic communications and voice communications ,Mails/Messages/Voice calls internal and external to the Firm

- Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager

- Remain updated on developments and changes concerning relevant regulations

- Develop and maintain a good understanding of the Firm's business groups and products, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities

- Good Knowledge of the EU regulatory environment and the MAR directive

- Identifying gaps within the process and implementing appropriate controls

- Experience in team handling will be preferred

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Posted By

user_img

Monica Gomes

Junior Consultant at TNPL

Last Login: 06 September 2022

Job Views:  
60
Applications:  8
Recruiter Actions:  0

Job Code

960460

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