Posted By
Posted in
Banking & Finance
Job Code
387474
Senior Manager - Investment Compliance Monitoring Officer
Job Summary & Duties :
- Supervises the preparation of daily and monthly investment compliance results.
- Manages the day-to-day activities and controls to ensure daily deliverables are met.
- Responsible for reviewing staff level work, as needed.
- Manages and facilitates timely resolution of issues.
- Keep management abreast of any potential issues.
- Proposes and works to implement workflow changes and supporting technical solutions leading to improved productivity and profitability.
- Keeps abreast of regulatory compliance and developments for the assigned area and apprises staff as necessary.
- Identifies and analyzes operations risks related to current and potential business and recommends procedural changes as needed
- Uses quality service measurement tools to ensure compliance with operational standards with SLAs and SOPs and create management reporting as needed
- Participates on projects or committees within the department and/or with BU Shared Services, COEs and Client Operations teams.
- During the course of normal day-to-day operation, responsible for identifying any unusual or potentially suspicious transaction activity and reporting and/or escalating in accordance with corporate policy and guidelines detailed in relevant operating procedures.
- Conducts periodic performance reviews; provides ongoing counsel, training, development and motivation of staff.
- Participates in the hiring, salary, promotional and termination recommendation process
Qualifications :
- University degree in Business majoring in Accounting, Finance, or another Financial-related program. Inter C.A. / Inter ICWAI or CFA (pursuing) will be preferred
- Prior relevant work experience of 7+ years including prior investment compliance monitoring experience.
- Ability to analyze investment guidelines and policies to determine testing requirements.
- Highly proficient with Microsoft Office Products (Excel, Word)
- Demonstrated managerial, leadership and decision making abilities
- Excellent communication, organization, interpersonal planning, and analytical skills
- Ability to effectively bring individuals from multiple areas together to resolve identified issues.
- Location : Mumbai - multiple shifts available
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Posted By
Posted in
Banking & Finance
Job Code
387474
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