5.0 - 9.0 years

0 Lacs

pune, maharashtra

On-site

Role Overview: As a BA4 in the BBPLC Control Room at Barclays, you will be responsible for managing Legal, Regulatory, and Reputational Risks across all lines of business. This includes critical functions related to key controls for managing Market Abuse, potential Conflicts of Interest, Information Barriers, Regulatory Insider Lists, Watch List, and Restricted Lists. Your role will involve providing advisory services on Information Barrier Controls, flow of Material Non-Public Information (MNPI), and interacting with senior bankers to ensure compliance with US Securities law requirements. Key Responsibilities: - Liaise with senior bankers to analyze relevant information for evaluating risks...

Posted 6 days ago

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Compliance Associate Morningstar

2.0 - 6.0 years

0 Lacs

navi mumbai, maharashtra

On-site

As a Compliance Associate reporting to the Global Head of Internal Controls within the Compliance function of DBRSM, your main responsibilities will include: - Monitoring emails and MS Teams messages to ensure compliance with the Electronic Communications Global Policy. - Executing general monitoring activities and documenting monitoring results. - Communicating results within Compliance and with key stakeholders. - Completing follow-ups resulting from monitoring activities. - Identifying opportunities for improvement and automation to enhance program efficiency. Qualifications required for this role: - Bachelor's degree, with a preference for a degree in finance, accounting, or economics. -...

Posted 1 month ago

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BBPLC Control Room Barclays

4.0 - 8.0 years

0 Lacs

pune, maharashtra

On-site

Join us as a Business Analyst 4 (BA4) in the BBPLC Control Room at Barclays, where Compliance Control Room plays a crucial role in managing Legal, Regulatory, and Reputational Risks across all lines of business. Our team handles business critical functions related to key controls for managing Market Abuse, potential Conflicts of Interest, Information Barriers, Regulatory Insider Lists, Watch List, and Restricted Lists. As a BA4 in the Control Room team, your responsibilities include providing advisory services on Information Barrier Controls, analyzing private side transactions, liaising with senior bankers, and ensuring compliance with US Securities law requirements. To excel in this role, ...

Posted 2 months ago

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