Position Description
The Compliance Officer will be part of the Legal and Compliance team, reporting into the Compliance Team Head in Pune. As part of this role, you will be responsible for completing compliance assignments in areas such as trade surveillance, regulatory reporting or any other tasks assigned to you. You will interact extensively with your regional Legal and Compliance counterparts in Asia and with the Legal/Compliance team in Pune
Key Areas of Responsibilities
- Review staff personal dealing transaction record, statements, contract notes and reports and check whether necessary prior approvals have been obtained for the transactions
- Report violations/breaches to compliance teams
- Review declaration of accounts from new employees and issue consent letter & handle staff queries.
- Performing speaker, vendor and staff verification checks with external data sources and Screening tools to ensure that all there are no negative news.
- Drafting and obtaining approvals for Politically Exposed Persons and special cases deviating from the CLSA Group AML and CFT Policy when necessary
- Reporting of Data Leakage protection incidents to the managers of staff.
- Daily analysis and Investigation of alerts generated by an Automated Trade Surveillance solution across Equities and Fixed Income covering Market abuse and Insider dealing behaviors for allocated jurisdictions.
- Emphasis to be given on improving the efficiency of the monitoring
- Assist in the production of effective management information reports for Senior Management
- Contribute to team discussions, investigations and knowledge acquisition
Requirements
- Attention to detail and process oriented
- Investigative skills
- Proficient in Word and Excel
- Good prioritization, organizational and multi-tasking skills
- Self-motivated, desire to be challenged and eager to learn
- Experience in building relationships with stakeholders’ Strong analytical skill, ability to handle multiple tasks simultaneously and work under tight deadlines
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