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Company is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.
As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. Company can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.
LCD comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.
The Legal Department provides guidance, requirements and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firm-wide Compliance Risk Management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
Global Financial Crimes is responsible for the development and governance of the Firm’s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG) and Government and Political Activities Compliance (GPAC) programs.
The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Company’s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Company entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.
LCD Center of Excellence – Mumbai (LCD CoE) is a part of Company’s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy.
Team: Control Group Surveillance
The Mumbai Control Group Surveillance Team is focused on Watch List and Restricted List Surveillance of Employee, Investment Management, Wealth Management, and Principal trading activity in the context of strategic transactions the Firm is advising on, including M&A transactions and Capital Markets transactions.
Primary Responsibilities (Day Job)
The Control Group Surveillance Analyst/ Associate will have several areas of responsibility including, but not limited to the following:
Review and analyze surveillance reports/ alerts
Escalate unresolved issues or potential violations of the Company’s policies or external rules and regulations to his/her Manager, Coverage Compliance and Senior Management of the Business Unit
Participate in defining and documenting the operating procedures for processing Monitoring reports
Create Management Information Reports on a periodic basis
Work with IT and / or vendors in enhancing/ developing new tools
0 - 6 years of relevant working experience in the financial services industry in Compliance or internal audit or with a securities exchange or securities regulator;
Preference will be given to candidates with relevant experience in Trade Surveillance/ Control Group
Possess excellent knowledge of financial instruments and markets
Basic understanding and knowledge of trading mechanisms across different financial instruments/ markets
Should possess knowledge of trade booking and settlements
Skills and Qualities
Industry qualifications i.e. Post Graduate / MBA in Finance
Will be required to maintain strict confidentiality of firm information
Knowledge of global markets / market regulations
Understanding the implications of risk involved
Excellent verbal and written English communication skills – ability to effectively correspond with various groups and senior professionals over email and the telephone
Strong Analytical Skills and attention to detail
Experience interpreting laws or regulations
Must be able to maintain a high level of organization under pressure
Monday to Friday from 09.00 a.m. to 6.00 p.m. India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)
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