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Junior Legal & Compliance Officer

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  • Banking & Finance
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Job Details

Advice and Counsel CoE personnel / businesses on application of Credit Suisse policies and procedures and of relevant Indian law/regulations.Working knowledge of the Indian regulatory framework and SEBI and RBI regulations is essential. Familiarity with the financial services industry and offshoring services provided from India to global financial institutions will be an advantage.Perform supervisory review of work done by CoE team, ensuring alerts are escalated, analyzed, and cleared properly in a timely manner, documentation of rationale and proper record keeping. Review regulatory and compliance aspects of CoE related initiativesProvide compliance trainings to new hires in CoE on detailed procedures for surveillance scenarios, highlighting the risks and common issues.Conduct specific training on relevant Indian and foreign regulations relevant to specific functions or processes that may be transferred to the CoE. In this the compliance officer will work closely with jurisdictional and product compliance exerts within Credit Suisses global compliance team.Respond to GC s request or queries for information in relation to trades to help identify possible misconducts. Act as a key liaison with internal control groups on compliance-related issues and respond to audit requestsReview MIs for distribution to Senior Managers and Global stakeholdersProactively highlight compliance related issues and bring them to successful closure. Mitigate risks for the entity by being vigilant and on high alert regarding the compliancesObtain endorsements and buy-in from stakeholders on recommendationsEngage stakeholders and team members actively in regular progress updates, decisions and resolution of issuesIdentify risks and issues and drive respective mitigationsConduct periodic compliance reviews.Assist in compliance review of issues related to the migration of processes and functions to the COE.Assist in responding to any regulatory inquiries and hands on knowledge of SEZ/ STPI /DoT regulations are essential.You OfferUniversity degree - specialization in finance or banking would be an assetAt least 10 to 15 years of relevant experienceVery good understanding of the complexity of financial products and services and front office lingo. Understanding of banking industry and its regulatory environment. Possess strong regulatory, product and transaction knowledge and strong written and verbal skillsAnalytical, attention to details, be able to spot and document irregular trends and patterns. Methodical and detailed in documentation and follow through on issues and cases.Disciplined and systematic in review approach and record retentionExcellent Microsoft Office skills, including Excel, Word andExcellent financial services background with solid understanding of Compliances in the industryDecision making skills and Solution orientedEffective analytical skills, ability to solve complex problems and identify pragmatic solutionsProven ability to manage senior stakeholders with strong influencing, communication and networking skillsGood understanding of risk and mitigating controlsRelated activities in bank/ securities market industry.Team work, & leadership skills working knowledge on presentations will be useful Ability to think strategically, demonstrate thought leadership whilst being capable of translating concepts into effective implementationEffective personal impact / authoritative presence.Exceptional written, verbal communication and presentation skills. Confident to challengeExceptional management, teamwork, interpersonal, influencing and conflict resolution skills. Establish and cultivate strong working relationships across departments. Ability to influence and navigate a global organization and experienced in dealing cross culturally and should be able to communicate effectively (verbally and in writing)
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: 10-15


Corporate | Financial Services
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