Regulatory Control Analyst

Job Description

Role Description The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success. The position will be based in Mumbai, India and requires the candidate to work in APAC shift. Your key responsibilities Responsibilities: Minimum Experience of 6 years+ in various processes of Info Barrier /Trade Surveillance processes. Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures. Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner. Prepare and present relevant management information to stakeholders. Review and fully investigate Trade and Communication Surveillance escalations and communicate the same in a timely manner to the Onshore team. Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions. Provide guidance and training to the India CTS team, mentoring and development of staff involved in the surveillance process to ensure effective and efficient operation of surveillance activities. Managing projects including relating to surveillance and testing of applications. Your skills and experience Education and Experience: At least 6+ years of experience in Trade / Information Barrier Surveillance. Bachelors or Masters in Commerce and Finance. MBA in finance or related field/ Chartered Accountant (CA). Advanced degree or relevant certifications (e.g., CFA, CAMS) is a plus. In-depth knowledge of trading systems, market structure, and surveillance technologies. Good understanding of Market Data for Equity and Derivatives. Excellent written and verbal communication skills. Ability to convey complex surveillance findings to both technical and non-technical stakeholders.