Compliance Officer HuntingCube Recruitment Solutions

3.0 - 7.0 years

0 Lacs

haryana

On-site

As a Surveillance Testing Officer, you will play a crucial role in enhancing the surveillance accuracy and efficiency within the firm. Your responsibilities will include: - Evaluating alert quality, false positive rates, and parameter thresholds to make recommendations for tuning and configuration. - Performing scenario-based and continuous testing of surveillance logic to ensure effective capture of relevant behaviors. - Designing, implementing, and maintaining a risk-based surveillance framework for comprehensive monitoring of global trading activity. - Conducting daily post-trade surveillance reviews to identify potential market abuse or integrity concerns and promptly escalate issues. - ...

Posted 1 month ago

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Conduct review specialist EY

2.0 - 6.0 years

0 Lacs

thiruvananthapuram, kerala

On-site

At EY, you will have the opportunity to develop a career tailored to your unique qualities, supported by a global network, inclusive environment, and cutting-edge technology to help you reach your full potential. Your distinct voice and perspective are essential in contributing to EY's continuous improvement. By joining us, you will not only create an exceptional experience for yourself but also contribute to building a better working world for everyone. As a Senior Consultant in the MENA FS Risk team within the Risk Consulting division at EY Global Delivery Services, you will focus on Market Conduct & Consumer Protection. Operating from Kerala in Kochi or Trivandrum, you will be part of a s...

Posted 2 months ago

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Compliance Monitoring Manager Wipro Limited

3.0 - 7.0 years

0 Lacs

vadodara, gujarat

On-site

As a Compliance Monitoring Manager at Servaada, a Wipro company, you will play a crucial role in overseeing compliance monitoring for retail investments and pensions. You will be instrumental in leading the delivery of strategic deals and contributing to the development of financial outsourcing services. Servaada, authorized by the FCA, specializes in providing regulated outsourcing services within the Financial Services industry to leading providers for pension schemes and investment platforms. Your responsibilities will include designing an annual monitoring plan, identifying control gaps, proposing solutions, and ensuring risks are mitigated in alignment with regulatory expectations and c...

Posted 3 months ago

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Assistant Manager Market Conduct (FPU) Bajaj Allianz Life

3.0 - 4.0 years

6 - 8 Lacs

Pune

Work from Office

PRINCIPAL ACCOUNTABILITIES: - Grievance Investigations Conducting investigation by coordinating with customer as well as distributor for grievance investigation and resolution Report Preparation Creating an investigation report for consequence management as well as closure of customer grievance Root Cause Analysis Analysis of the grievances and create a channel level grievance mitigation steps Identifying Process Gaps, RCA & fixing Handling of Customer Escalations, Grievances, Emails and Feedback with best appropriate resolution in accordance with the laid down guidelines Coordination and follow up with key stakeholders for end to end clearance of cases and closures • Transaction processing ...

Posted 5 months ago

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