Regulatory Control Analyst

The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success.

The position will be based in Mumbai, India and requires the candidate to work in APAC shift.

Your key responsibilities

Responsibilities:

• Minimum Experience of 6 years+ in various processes of Info Barrier /Trade Surveillance processes.
• Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures.
• Ability to multi task, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner.
• Prepare and present relevant management information to stakeholders.
• Review and fully investigate Trade and Communication Surveillance escalations and communicate the same in a timely manner to the Onshore team.
• Handling the BAU of the process along with the process escalations, Client management, Global projects and Process transitions.
• Provide guidance and training to the India CTS team, mentoring and development of staff involved in the surveillance process to ensure effective and efficient operation of surveillance activities.
• Managing projects including relating to surveillance and testing of applications.

Your skills and experience

Education and Experience:

• At least 6+ years of experience in Trade / Information Barrier Surveillance.
• Bachelors or Masters in Commerce and Finance. MBA in finance or related field/ Chartered Accountant (CA). Advanced degree or relevant certifications (e.g., CFA, CAMS) is a plus.
• In-depth knowledge of trading systems, market structure, and surveillance technologies.
• Good understanding of Market Data for Equity and Derivatives.
• Excellent written and verbal communication skills.
• Ability to convey complex surveillance findings to both technical and non-technical stakeholders.