Regulatory Compliance Role - BFS

This is with respect to openings with a leading MNC across the globe. 

Experience- 3+ Years

Designation- Client will confirm post Interview

Location: Bangalore

Responsibilities :

Review, investigate and escalate alerts generated by the Global Market Surveillance system. This system is designed to identify breaches of internal policies surrounding Information Boundaries or individual behavior that may signify potential risk to company and / or its clients-, in particular that of Market Abuse risks.

- Check the alerts closed to ensure that all quality related parameters are met by them team.

- Perform daily monitoring tests that ensure that the risks within the monitoring plan are mitigated.

- Escalate instances of irregularities to regional hubs.

- Produce reports providing management information for Senior Management.

- Assist in the on-going development of the system to improve the efficiency of monitoring within the business.

- Assist with user acceptance testing (UAT) of newly developed monitoring tests.

- Assist in the initial set up and drafting of procedures manuals.

- Foster a close relationship with the various Compliance teams.

- Maintain company internal control standards, including the timely implementation of internal and external audit points together with any issues raised by external regulators.

- Understand, follow and demonstrate compliance with all relevant internal and external rules, regulations and procedures that apply to the conduct of the business in which you are involved, specifically Internal Controls and any Compliance policy including, inter alia, the Group Compliance policy.

- Be aware of the Operational Risk scenarios associated with the role and act in a manner that takes account of operational risk considerations.

If you're interested in the above mentioned Job details. Please apply with following details:

Current CTC : 
Expected CTC: 
Notice Period: 

Savitri A
Sr.Consultant|Recruitment Solutions
IKYA Human Capital Solutions (A Division of Quess Corp Limited)