Senior Compliance Officer

Russell Investments

5 - 8 years

7 - 10 Lacs

mumbai

Posted:1 day ago| Platform:

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Skills Required

manager internal audit assurance corporate governance compliance compliance monitoring fund administration investment compliance asset management financial services otc

Work Mode

Work from Office

Job Type

Full Time

Job Description

Minimum of 5 years experience in the regulatory compliance function of a global firm in the financial services/asset management/pension fund industry.

Qualifications

Minimum of 5 years experience in the regulatory compliance function of a global firm in the financial services/asset management/pension fund industry.
Ideally you have had exposure to fund administration, investment compliance and a good understanding of the business of investment/fund management, financial products and services.
Knowledge of financial services laws and regulations, corporate governance and good compliance culture.
Strong English language proficiency

Responsibilities

Develop understanding of the products, services and business line functions that need to be the subject of compliance oversight.
Develop knowledge of the relevant Australian laws and regulations and Russell Investments standards and work practices pertaining to such products, services and business lines.
Assist with the development and maintenance of compliance policies and procedures for the purpose of ensuring compliance with regulatory requirements.
Perform regular compliance monitoring activities and reporting functions in collaboration with the ANZ Compliance team. Maintain and manage half yearly compliance questionnaire/attestation program.
Assist with identification, investigation, assessment and reporting of incidents and breaches to clients and trustees, boards and committees. Monitor status of remedial actions of breaches and issues.
Perform compliance assurance reviews for purpose of gaining assurance on the compliance controls in the business.
Participate in vendor compliance monitoring activities relating to money managers and fund administrator / custodian / registry (transfer agent).
Perform administration of compliance training records.
Perform OTC Derivative Transaction Reporting monitoring activities
Carry out ad hoc tasks and projects as required.

Candidate Requirements

High degree of commercial awareness. Motivated to learn, problem solve and get things done.
Ability to build relationships with business partners and team members, contributing to positive team culture and cross-functional relationships. Strong interpersonal skills and good team player.
Confidence and ability to independently manage work tasks and deadlines working remotely from the business and colleagues you are supporting.

Core Values

Strong interpersonal, oral, and written communication and collaboration skills with all levels of management
Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines,
Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability.
Highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency.
Exemplifies our customer-focused, action-oriented, results-driven culture.
Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions.
Ability to act with discretion and maintain complete confidentiality.
Dedicated to the firm s values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.

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