Job Description
PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES
• Monitor, review and escalate employee electronic communication messages including surveillance of archived emails and social media posts
• Assist with analysis and implementation of new and/or enhanced surveillance reviews and processes
• Assist in the processing and escalating pre-clearance of business gifts, business entertainment, outside business activities and political contributions
• Provide high level client service to employees across the global enterprise
• Gather, sort, investigate and resolve or escalate any discrepancies or exceptions
• Conduct forensic, periodic, and transactional testing
• Maintain, track and report key performance indicators/metrics for Corporate Compliance as assigned
• Assist in Corporate Compliance related projects and initiatives
QUALIFICATIONS
Education:
• B. Com / M. Com / MBA / CA /Degree in Commerce/Finance
Work Experience / Knowledge:
• 2-6 years of work experience with knowledge on Finance and keen interest to learn Corporate Compliance and regulatory environment. Knowledge of financial products will be added advantage
General Requirements:
• Ability to understand the processes with clarity
• Strong analytical skills
Job Title: associate
Department: Compliance
Location: Mumbai, India
Status: Regular
• Meticulous attention to detail
• Excellent written, verbal, and interpersonal skills
• Open to work flexible hours
• Self-starter who enjoys a team-oriented and collaborative approach
• Proficiency on MS Office suite of applications
• Familiarity with trading systems and compliance systems such as Star Compliance, Global Relay, OMS, Bloomberg would be an added advantage
Reporting Relationships