Vice President - Regulatory & Legal Compliance/Controls (13-18 yrs)

- Liaising with Senior Bankers: Evaluate risks and manage the Firm's Watch and Restricted List.

- Advising on Information Flows: Act as a check and challenge function for Information Barriers and Inside Information.

- Guidance and Control Function: Oversee chaperoning requirements and vet communications between departments.

- Applying Firm-wide Restrictions: Advise on restricted activities and manage legal, regulatory, and reputational risks.

- Reviewing Wall Crossings: Maintain detailed records and monitor information barriers.

- Investigating Policy Breaches: Liaise with compliance teams and issue policy breach notifications.

- Drafting and Delivering Training: Update procedures and provide training as needed.

- Participating in Projects and Reviews: Engage in technology enhancements and assurance reviews.

- Maintaining Accurate Records: Ensure effective internal controls and risk management processes.

- Stakeholder Management: Play a crucial role in stakeholder management, building effective relationships and promoting collaborative communication in UK & India.

- Bachelor's or master's degree with relevant experience.

Some of Highly Valued Skills may include:

- Strong understanding of the rules and regulations relating to the Control Room

- Able to work in a fast paced, time sensitive environment

- Excellent communication skills both written and oral

You may be assessed on the key critical skills relevant for success in role, such as risk and controls, change and transformation, business acumen strategic thinking and digital and technology, as well as job-specific technical skills.

Accountabilities

- Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.

- Monitoring and evaluation of potential risks arising from various business activities, regulatory changes, and internal control requirements.

- Investigation and analysis of reported control breaches, identification of root causes, and determination of the extent of the impact on the bank.

- Implementation of corrective actions to address identified control breaches, prevent recurrence, and strengthen internal control frameworks.

- Maintenance of comprehensive and up-to-date documentation of control room activities, including risk assessments, investigations, and corrective actions.

- Development and implementation of procedures for responding to and managing incidents or potential breaches of information barriers.

- Maintenance of accurate records of Inside Information, Watch List, Restricted list and Wall Crossings to ensure internal controls and risk management processes are effective.

The location for this role is Pune, IN.