COM-Central Compliance

Role & Responsibilities:

Administer and support theElectronic Records Preservation Attestationglobally as perSEC regulationby performing below mentioned activities:

• Coordination with Global compliance for agreement on scope, exclusions, audience cut-off date, reminder schedule, launch and deadline date, attestation wordings, system, launch draft email wordings etc.
• Coordination with various regional compliance on the audience scoping and reporting requirements. Prepare population list across regions basis the scoping criteria and seek sign off from regional compliance teams.
• System setups, UAT & Production testing, changes on the same post feedback.
• Manage launch of affirmation program with proper control checks by ensuring quality.
• Manage employee queries on system access and errors along with business queries on staff exemption and assignments. Group mailbox management for tracking/actioning of requests/queries.
• Reporting MIS to businesses and compliance as per schedule or as and when requested.
• Regular follow-up with exempted staffs post program due date.
• Timely escalations of employee who respond of not following of applicable policies to Regional Heads.
• Documentation & producing evidences of records as and when requested. Record keeping of important program related emails in shared drive.
• Regular updates to SOP and other required documents.

Mind Set:

Mandatory Desired Domain / Technical

• Basic understanding of Investment Banking business and the Financial Regulatory environment
• Basic knowledge of the US regulatory environment
• Good MS office skills
• Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting
• Demonstrable project management skills
• Experience with using Word, Excel, PowerPoint
• Compliance Background.
• Power BI / Tableau and other data visualization tools
• Knowledge of Excel macros

Interpersonal

• Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources
• Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt
• Strong time management skills
• Strong attention to detail, with the ability to ensure data completeness and accuracy
• Strong administrative skills and analytical approach to problem solving
• Willingness to be flexible and adapt quickly to changing demands of the role
• Collaborates within and across teams, involving the right people