Compliance-Bengaluru-Senior Analyst-Business Unit Compliance

GLOBAL BANKING & MARKETS ROLE OVERVIEW
The role of a Global Banking & Markets - Public Compliance Officer is to assist the firm in preventing, detecting and mitigating compliance, regulatory, and reputational risk within the Global Banking & Markets-Public business by articulating and maintaining the standards of conduct required of the firm’s businesses as well as the laws, regulations and policies governing those businesses. This Business-aligned Compliance role provides coverage to its aligned businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.
 

KEY RESPONSIBILITIES
o Provide day-to-day line Compliance coverage for the Global Banking & Markets-Public teams in Bengaluru and Hyderabad.
o Advise on how to conduct the firm’s business in a manner that complies with the vast array of rules, regulations and regulatory expectations
o Assess new business initiatives and coordinate with interested stakeholders to support the firm’s overall governance framework
o Represent Compliance in broad-based cross-divisional projects supporting regulatory requirements
o Develop, draft and maintain Compliance policies and procedures outlining firm requirements, regulations and best practices
o Create and implement Compliance training programs for Equities professionals
o Evaluate compliance risks and assist in developing compliance action plans through the firm’s Compliance Risk Assessment
o Coordinate issues, findings and practices with colleagues across regions and/ or divisions.
o Management Reporting
 

QUALIFICATIONS & SKILL SETS
o Bachelor’s Degree
o 2+ years Compliance, Legal, Regulatory or Financial Services industry experience
o Working knowledge of securities markets, businesses, products and exchange rules and regulations.
o Good interpersonal skills and excellent written/ oral communication skills.
o Inquisitive and proactive in identifying risks and proposing solutions.
o Ability to work with a variety of senior and junior people and build smooth working relationships.
o Highest attention to detail.
o Ability to work independently - one who is able to prioritize deliverables in a fast moving, high pressure, constantly changing environment.
o Strong organizational skills and ability to manage multiple assignments concurrently.
o Entrepreneurial inclination - ability to work alone and act as project manager.
o Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
o Proficiency in usage of Alteryx/ Tableau/ Excel and other data analytics/ visualization tools.
o Build consensus across teams; think and implement stable and scalable solutions.
o Strive for personal and collaborative excellence.