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Compliance Consultant 2

Bengaluru, KA
Job Code:
  • Banking & Finance
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Job Details

Responsible for implementing and monitoring a risk-based compliance program to assure compliance with federal, state, agency, legal and regulatory requirements or may provide oversight of compliance function. Participates in and provides compliance consulting and support for projects and initiatives with moderate risk to identify and mitigate regulatory risk in business activities. Implements compliance testing strategies and methodologies; evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from internal and/or external compliance examinations. May assist in drafting corrective action plans and in managing change to ensure regulatory compliance. Identifies training opportunities; may provide input to the development of training materials and delivers training. Drafts report of findings and recommendations for compliance risk management. Coordinates production of periodic compliance performance reports for senior management, including trend analysis and recommendations. Assists in the coordination of site, agency or other examinations conducted by external parties.Market Skills and CertificationsWell Versed with US Securities Markets / Products (Equities / Debt / Derivatives / Commodities )Minimum 4-5 years of experience in the Securities marketExposure to US Securities and Banking Regulatory environmentThis a controls testingwork which requires interpretation of Securities and other Regulations and ensuring that business policies are aligned with it.This would also involve Testing Controls and submitting reviews.Good Communication
Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 4-5


Business Consulting
Applying for this job will take you to an external site


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