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Location

Secunderabad | India

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Job description

Roles & Responsibilities
• Monitoring of daily, weekly, monthly, and quarterly reports.
• Prepare documentation to support reviews conducted and to substantiate and demonstrate adequate processes/controls to meet global regulatory requirements with a focus on APAC regulators and ensure compliance with all policies and procedures.
• Analyze the data and prepare documentation to support substantial shareholding reporting and short holdings to meet global regulatory requirements.
• Knowledge of the regulatory requirements in one or more of the following regions: APAC, EMEA and the Americas, and take action steps to meet applicable compliance performance metrics.
• Stay current of all regulatory changes related to reporting thresholds, reporting deadlines, updated/new disclosure forms to be used occurring in various regions and ensure to update procedures and applications to reflect the changes accordingly.
• Interact with members of the global compliance and legal teams to assess, document, monitor, report, develop, coordinate, and implement various compliance monitoring activities, regulatory inquiries, and ongoing testing and related controls.
• Perform daily activities in preparation of periodic regulatory filings.
• Participate in global Compliance related projects and responsibilities.
• Assist in resolving queries with regional/global compliance teams.
• Proactively seek and research solutions to compliance issues related to data issues, filling gaps in collating required details for monitoring and reporting as they arise.
• Interact with members from global teams to assess, document, monitor and report as required. Respond to basic, Intermediary, and advanced/complex questions/queries from other teams independently and report to managers for escalation as required.

Working Timings:

Working timing will be 6.30amIST to 03.30pm IST however this could change from time to time as per process requirements.

Work Experience / Knowledge:

4-6 years of related work experience with investment advisor, mutual fund group or any financial service industry; preferably in Compliance or regulatory environment. Knowledge of financial products will be added advantage. Experience preparing and submitting compliance regulatory reporting is a plus.

Skills / Other Personal Attributes Required:

• Strong communication and interpersonal skills
• Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations
• Problem solving
• Strong analytical skills and attention to detail
• Team player
• Independent – ability to take on responsibility as a team member.
• Shall be open to work flexible hours.
• Strong MS Office suite of applications
• Ability to work under pressure, with tight deadlines, while maintaining high level of accuracy

Formal Education:(minimum requirement to perform job duties)

• MBA or Degree in Commerce/Finance

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Job tags

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Salary