RESPONSIBILITIES AND QUALIFICATIONS
 

Job Description
PWM Compliance takes an active role in assisting the PWM Management to supervise the PWM Business and provides on-going advice on various topics. The PWM Compliance team in Bengaluru is a part of the Global team which helps provide advice to the PWM business covering a broad spectrum of responsibilities, including Personal trading, Surveillance, Programmatic Reviews, review of trades for Cross Border issues, pre-trade approvals, Training, Client Guidelines and Projects where we collaborate with Business and Engineering teams.
 

Principal Responsibilities:
•Grasp Business, Compliance, Regulatory rules and Policies
•Perform surveillance including but not limited to holdings, positions, personal account trading and restricted trading
•Seeking and implementing automated solutions (for manual processes and anticipated future requirements), which will involve providing direction and requirements to Engineering as well as acting in partnership with Engineering
•Review and Oversight of Controls
•Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
•Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
•Develop associated functional specifications and testing scripts.
•Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.
•Provide guidance to sales on appropriate interpretation and application of policies and procedures
•Collaborating with Legal and Business to review Client Guideline documents to ensure they can be monitored or amend the language in the contract if otherwise
•Performing Programmatic reviews to investigate if we have appropriate controls in place and studying patterns to identify anomalies
Escalate situations, as appropriate, to relevant divisional compliance officers and business unit managers
•Assist regional compliance in ongoing projects, responding to changes in the firm’s businesses and changes in regulation
•Taking ownership of processes and controls of the team, driving the development of methods to improve processes and / or controls to ensure that these are efficient, effective and relevant
•Leverage strong communication and relationship-building skills in frequent interaction with other areas of the firm and professionals across the globe
•Complying with internal controls, policies and procedures and regularly reviewing and updating procedures and training documentation
•Communicate regularly with stakeholders and senior management on outstanding surveillance issues, findings and status of other assigned compliance projects
 

Basic Qualifications:
•Previous experience in Compliance, Surveillance, Internal Audit or other control function.
•Inquisitive and proactive in identifying risks and proposing solutions
•Good interpersonal skills and effective written/oral communication skills
•Organized, detail-oriented, enthusiastic professional with a strong work ethic
•Strong analytical and problem-solving skills with the ability to exercise sound and balanced judgment.
•Ability to handle multiple tasks simultaneously, prioritize effectively and work under high pressure environment
•Good understanding of the fundamentals of the financial industry
•Advanced MS Office skills preferred, including experience with large data sets and proficiency in data manipulation and presentation
•Ability to work with a variety of senior and junior people and build smooth working relationships.
•Highest attention to detail.
•Team player - one who can prioritize in a fast moving, high pressure, constantly changing environment.
•Entrepreneurial inclination - ability to work alone and act as project manager.
•Ability to identify risks and escalate them appropriately