Employee Compliance, NCT

Overview

Employee Compliance (NCT) role focused on reviewing, approving, and monitoring employee activity across personal trading and related compliance areas for APAC, Americas, and EMEA regions.

What you'll do

• Review, approve, and monitor employee activity for Personal Account dealing Trading.
• Review, approve, and monitor employee activity for Outside Business Interests and Private Investments.
• Support review and monitoring for Employee Trade Surveillance and Consequence Management.
• Liaise with Country Compliance Officers and other stakeholders to develop, review, test, and enhance procedures.
• Manage multiple requests in an orderly and timely manner.
• Prepare MI and track KPIs and status updates for senior management.
• Handle BAU process, escalations, stakeholder management, and global projects.

What you'll need

• Have a Bachelor’s or Masters in Commerce and Finance.
• Have minimum 4 years prior experience in Investment Banking Operations.
• Demonstrate detail orientation and strong verbal and written communication skills.
• Show exposure to communicating with global stakeholders.
• Have knowledge/experience with financial products including stocks, bonds, and equity/credit derivatives.
• Have advanced MS Excel and PowerPoint skills (pivot tables, large data sets, data manipulation and presentation).

Details

• Location: Bangalore, India.