Job Description

 Contract Duration - 1 Year

2. Location - Mumbai office

3. Shift Time - India shift (can start between 9 to 11 AM in morning)

4. Years of experience required - 1 to 2 years

5. Must to have skills - basic knowledge about financial product and should have experience of working on excel. Good communication skills

6. Good to have skills - Risk mindset / knowledge about stock market

7. WFO/Hybrid - Office

8. Laptop (Yes/No for WFH) - No office laptop will be provided

9. Acceptable Notice Period - 1 Month

 

 

Department Profile

From global institutions to hedge funds, investors come to client for sales, trading, and market-making services in almost every type of financial instrument in all the world’s financial markets. client professionals use our network and technology to provide liquidity and sophisticated analysis, to manage risk and execute reliably in the fast-changing markets.

 

Client’s Institutional Equity Division (IED) is a world leader in the origination, distribution and trading of equity, equity-linked and equity-derivative securities. Our broad and deep client relationships, market-leading platform and intellectual insights enable us to be a world-class service provider to our clients for their financing, market access and portfolio management needs.

 

Responsibilities Include:

  • Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary.
  • Trend and identify repeat behaviors and establish a process to address recurrence.
  • Create management reports to highlight issues, trends, new regulatory changes etc.
  • Support BU projects to create, enhance or develop procedures/protocols.
  • Engaging with other regional Risk and control group (RCG) teams to focus on and deliver increased automation and standardization across processes.
  • Engaging with IED contacts and other stakeholders to build awareness of Non- Financial Risk
  • Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic.
  • Help ensure that IED activities comply with relevant legal, regulatory and Firm requirements.
  • Partner with stakeholders to design and implement new reports to assist with the Firm keeping pace with the evolving Regulatory environment.
  • Partner in projects related to improving the review process, reduce false positives or further enhance the report logic.

Skills required

  • Graduate with 1-2 years experience in Compliance / Risk Management / Operations / Trading Support. A Risk analysis mindset is advantageous.
  • Learning aptitude and Ability to work independently.
  • Good organizational skills and attention to detail.
  • Knowledge of Equities markets, understanding of applicable regulatory rules and regulations.
  • Good verbal and written communication skills, Articulate.
  • An understanding of and strong focus on the mechanics of a control environment, including escalation and risk-related issues.
  • Proficiency in MS Office and related applications (Excel, PowerPoint, Word).

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