Job Title : Compliance PAD Analyst
Location : Mumbai/Powai
Duration : Fulltime
Shift Timing : 1:00pm to 10:00pm
The individual will have diverse responsibilities, including but not limited to:-
- Responsible to perform different control room monitor and surveillance tasks within stringent deadlines.
- Responsible to review and perform Actimize and manual trade surveillance for Watch list, Restricted list, trading ahead of research checks and escalate potential breaches for second level review.
- Responsible for new joiner process on attestations for US staff with respect to Personal Account Dealing and OBI-A Policy
- Handle the employee trade monitoring process including reconciliations and account
Maintenance; send and timely chasers to staffs with pending statement submissions
- Ensure MIS data, Checklists and process related procedures are updated and accurate
- Responsible for investigating and enquiring for mismatch of source data.
Responsible for identification, mitigation, escalation and reporting of potential/current risk.
- Provide assistance for developing IT tools by Documentation of business requirement performing UAT and provide alternative solutions.
- Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt.
- Must maintain confidentiality and privacy of Control Room information within and outside firm.
Responsible to maintain good communication with regional stakeholders and organise, scheduled weekly/monthly calls with structured agenda and minutes.
