Compliance, Global Banking & Markets Compliance, Associate, Mumbai

Key Responsibilities:

• Assist in the implementation and maintenance of the companys compliance framework policies and procedures ensuring they align with sectorial regulations and firmwide requirements.
• Stay up-to-date with changes in regulatory requirements and industry best practices in India advising relevant teams on their impact.
• Provide guidance and training to employees on compliance-related matters including new policies and regulatory updates.
• Collaborate with various departments such as Business legal operations and IT to ensure compliance is integrated into business processes.
• Assist in managing and responding to regulatory inquiries and inspections.
• Maintain accurate and organized compliance documentation and records.
• Assist in the preparation and submission of accurate and timely regulatory reports to relevant authorities and internal stakeholders.
• Support and coordinate the preparation for internal statutory and external audits including gathering required documentation and responding to audit queries.

Qualifications:

• 5 years of professional experience at a financial institution in India dealing with SEBI BSE NSE or RBI and other local regulators on compliance matters.
• Bachelors degree in Finance Law Business Administration or a related field.
• Experience in implementing and maintaining compliance programs including drafting amending designing and implementing appropriate policies procedures training and controls.
• Experience in conducting internal investigations and guiding / advising on internal conduct issues.
• Knowledge of SEBI rules and regulations and experience in responding to inquiries from and managing investigations by SEBI and other local regulators.

Skills:

• Should independently work with regulators and internal teams.
• Ability to work with various departments and build smooth working relationships
• Knowledge of Indian industry standards laws and regulations.
• High level of integrity and ethical conduct. Detail oriented.
• Strong analytical problem-solving and critical thinking abilities with meticulous attention to detail.
• Excellent written and oral communication skills with the ability to present complex information clearly and professionally.
• Ability to work independently and collaboratively in a fast-paced environment managing multiple tasks and prioritizing effectively to meet deadlines.

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