Location: Mumbai (Nirlon Knowledge Park)
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 Firmwide 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 Client’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 Client 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 Client’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 will have several areas of responsibility including, but not limited to, following:
- Review and analyze surveillance reports/ alerts
- Escalate unresolved issues or potential violations of the Client’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
- Participate in testing/ requirement drafting of new models/reports
- 0-3 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
- 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 09:00AM to 6:00PM India time with flexibility on standard working hours for time sensitive matters (including India Public Holidays)