Department
Job Title:
About Business Line/Function
India COE Compliance Hub:
India COE Compliance Hub is focused to protect the reputation of the Group and effectively manage risk across all business areas by providing support to various Compliance functions. At present the department is broadly organized into divisions which embed into the areas they support providing services for Global Compliance Training, Capital Markets Surveillance, Electronic Communication Surveillance, Transversal Risk Management (TRM), Compliance Migrations Co-Ordination, Personal Account Dealing, MIS and Projects support. The team works closely with business partners in CIB and the wider group.
Responsibilities
Position Purpose:
Direct Responsibilities
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- Review and validate employee personal trading requests in accordance with the firm's personal account dealing (PAD) policy
- Conduct reconciliation between the account movements and the dealing approval
- Update results of the reconciliation
- Follow-up with outstanding statements from sensitive staff concerned
- Flag exceptions on dealing approval
- Reviewing G&I; requests and validating as per firm’s GIFTS & Invitations (G&I;) policy
- Review of mass / large events invitations
- Follow-up with staff for taking the action on pending G&I; requests
- Manage the licensing process for relevant personnel to ensure compliance with local regulations.
- Follow-up with staff, stake holders for various documents and appropriate approvals
- Data management: Maintain accurate records for audit
- Assign/ Propose classification to current joiners/ movers as per staff’s job role
- Follow-up with outstanding staff for acknowledgement
- Prepare reports as per requirement (E.g. management, audit, business, etc)
- Investigation and Breach Management: Support discrepancy investigation and issuance of breach
- Monitor mailbox and answer respond to staff queries
- Monitor local process/ policy to identify areas for improvement
- Assist AM’s in providing data rela