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Team Leader, Global Compliance

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

Technical Skills In-depth knowledge on capital markets and advanced knowledge of various asset classes and asset characteristics. Working knowledge of IRAS & the related products will be an added advantage Advanced working knowledge of Excel, MS Office suite. Very good understanding of UCITS and AIFMD process Knowledge GIO, Invest One, SUMMIT and EDM will be an added advantage Advanced working knowledge either on Pre trade Compliance monitoring or Post trade Compliance monitoring. Knowledge of Charles River Compliance Monitoring tool will be an added advantage.Process Management Daily load planning & prioritizing of deliverables (Daily and monthly) Ongoing maintenance of production procedure & documents. (DPAD/SLA/MRSD) Develops and implements process control procedures, and recommends solutions to recurring operations problems Review &authorize work of all direct reports for accuracy, and ensures that client specifications & standards are met Ensure set SLAs are either met or exceeded on a daily and monthly basis Monthly process KPIs are all prepared and released on timely manner Escalation management (First point of contact) Day to day relationship management with Home Country stakeholders. Act as an subject matter expert (SME) Develop and maintain all required MIS for the process & release them on time. Should be completely aware and periodically review Risk related issues with the Section Manager Drive Performance , productivity and efficiency through the team(s) People Management Conducting one to one meetings, mid-year and annual appraisals of all direct reports Leadership and organizational skills to resolve day to day people issues & provide prompt feedback to staff Celebrate Team success. Error analysis to identify possible knowledge gaps and subsequent trainings for all direct reports Ongoing maintenance of time keeping & updating work schedule and holiday schedule for direct reports Identifies training and development needs, and assist the SM to establish performance standards for the team including performance objectives. Skill Metrics & Talent management Own & support any projects for your teamACCOUNTABILITIES Employees are required to comply with the regulatory regime in which Northern Trust operates as appropriate to the above role Employees are expected to exercise due care and diligence, ensuring the areas the incumbent is responsible for are organized and controlled Employees are required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of duties Reports to Operations / Section Manager as appropriate Responsible for a team of up to 10-12, including Analysts, Senior Analysts & Technical Coordinators SKILLS Assertive & effective communication skills & ability to manage difficult communication Be able to mentor through confidence and approachability Approachable and able to promote teamwork through creative solutions Good analytical, numerical and reasoning skills Time management and delegation skills MS Office, word and excel. Knowledge of IRAS applications is an added advantage Good understanding of IRAS and its products. Deep understanding of process and process improvement Knowledge of relevant regulatory environmentCORE COMPETENCIES Interpersonal (relationship builder, respectful, resolves problems, people friendly and organizational savvy) Communication (presentation skills, listening skills, oral communication skills, allows others to express themselves and written communication skills) Self-management (adaptability and resilience, learning behavior, integrity and ethics) Motivation (performance standards, achieving results and persistent) Thinking (creative thinking, decision making, input seeking, logical thinking and solution finding) Organizational Knowledge (business knowledge, expert knowledge and external events impact) Client Service and Quality (quality, relationship building and client satisfaction) Administration (anticipates needs, execution, planning, process specialist, quality seeker and time management) Leadership (addresses difficult issues, builds effective teams focused on goals, champions new initiatives, fosters development, gives timely feedback and coaching, Idea generator and sets challenging performance standards).
Degree: CA (Chartered Accountant) | M.Com. (Commerce) | MBA/ PGDM

Additional Degree: B.Com. (Commerce)

Experience: 6-7


Claims/Collection Mgmt | Portfolio/Fund Mgmt | Risk/Credit/Economic Analyst | Trading
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