We’re seeking a future team member for the role of Senior Specialist to join Core Compliance PST team. This role is in Pune, MH
In this role, you’ll make an impact in the following ways:
- Supports the day-to-day efforts related to assessing whether employees are in compliance with relevant laws, rules, regulations and the company’s personal securities trade Policy.
- Monitors compliance with the Personal Securities Trade Policy for all employees, reviews transactions and holdings statements manually and reconciles discrepancies working with employees; reviews / reports all potential violations (Red Flags) of the policy
- Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
- Identifying and resolving broker account errors.
- Linking of broker accounts(consent) for countries like India, UK, Singapore and Hong Kong.
- Manage and review non-approved brokers accounts. Validate the requests against the policy requirements and perform necessary assessment before approval.
- Support process improvements and automation initiatives to enhance efficiency and control within the non-approved broker workflow.
- Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
- As an experienced team member, suggests changes to improve work processes, counsel employees and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work.
- With minimal guidance, researches and collects data on compliance and control-related activities.
- Compiles data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
- Reviews and verifies that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
- Independently prepares reports for management on the business line's compliance status and may assign report development tasks to more junior support staff.
- Reviews reports with more senior support roles to confirm accuracy and completeness and checks reporting prepared by more junior support staff.
- Counsel business personnel and management on remaining in compliance or improving their alignment with established controls and compliance goals.
To be successful in this role, we’re seeking the following:
Bachelor’s degree in finance, Commerce, Economics, or related discipline.
4-7 years of experience in compliance, Personal Security Trading or similar function
Exposure to Personal Account Dealing or Employee Trading Monitoring preferred.