Department: India CoE Compliance Hub – Skilled Ethics
About Business line/Function: CIB
India COE Compliance Hub: India CoE Compliance Hub enables safeguarding the Group’s reputation and mitigating the risks across all business lines by supporting the Compliance functions globally. Currently, the India CoE Hub is structured into divisions aligned with the areas they serve, offering services for Group Compliance COO TOP, trade surveillance, electronic communications monitoring, transversal risk management, personal account dealing, MIS, and project support. The team collaborates closely with business partners worldwide
Position Purpose: Associate for Personal Account Dealing within CIB compliance monitors employee trading activities, ensures proper reporting, investigates breaches, and flags exceptions. The role requires strong communication, proficiency in Microsoft Office, knowledge of financial products and regulations, the ability to work independently or in a team,
and flexibility to meet deadlines and reporting obligations outside standard hours.
Responsibilities
Direct Responsibilities
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 new joiners/ movers as per