Reviewing internal policy breaches on a daily basis, investigate, educate and escalate as necessary Trend and identify repeat behaviours and establish a process to address recurrence Reviewing electronic communications and escalating where these are not in line with internal policies Create management reports to highlight issues, trends, new regulatory changes etc. Support BU projects to create, enhance or develop procedures/protocols. Engaging with other regional Risk and control group (RCG) teams to focus on and deliver increased automation and standardization across applicable surveillance processes Engaging with IED contacts and other stakeholders to build awareness of Non- Financial Risk and RCG's continued focus on proactive and effective surveillance and supervision Drive discussion with relevant Risk and Compliance contacts to validate the existing review process and alert disposition logic Help ensure that IED activities comply with relevant legal, regulatory and Firm requirements Partner with stakeholders to design and implement current reports to assist with the Firm keeping pace with the evolving Regulatory environment Partner in projects related to improving the review process, reduce false positives or further enhance the report logic Management Graduate/ Master's in Commerce/ Management Graduate 3-5 years with a background in Compliance, Risk Management and / or Trading Support focusing on sales and trading issues Ability to work independently Exceptional organizational skills and high degree of attention to detail Knowledge of Equities markets, understanding of applicable regulatory rules and regulations An understanding of and strong focus on the mechanics of a control environment,



including escalation and risk-related issues Proficiency in MS Office and related applications (Word, Excel, PowerPoint) Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.



Internal Applicants Internal mobility can be a way to grow your career and realize your professional potential. Typically, you must be in your position for at least 18 months and performing satisfactorily before applying for another job at the Firm. Internal applicants can find out more regarding career navigation, mobility guidelines and policy on our employee portal by clicking here. Our values - putting clients first, doing the right thing, leading with exceptional ideas, committing to diversity and inclusion, and giving back - aren't just beliefs, they guide the decisions we make every day to do what's best for our clients, communities and more than 80,000 employees in 1,200 offices across 42 countries. Our teams are relentless collaborators and creative thinkers, fueled by their diverse backgrounds and experiences. We are proud to support our employees and their families at every point along their work-life journey, offering some of the most attractive and comprehensive employee benefits and perks in the industry. There's also ample opportunity to move about the business for those who show passion and grit in their work. We work to provide a supportive and inclusive environment where all individuals can maximize their full potential. Our skilled and creative workforce is comprised of individuals drawn from a broad cross section of the global communities in which we operate and who reflect a variety of backgrounds, talents, perspectives, and experiences. Our strong commitment to a culture of inclusion is evident through our constant focus on recruiting, developing, and advancing individuals based on their skills and talents.

📌 Non Market Risk_Senior Associate_Institutional Equity Division (Mumbai)
🏢 Recognized
📍 Mumbai