Senior Manager - Investment Compliance Monitoring Officer - BFSI

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