2.0 - 6.0 years

2 - 6 Lacs

Mumbai, Maharashtra, India

On-site

Role & Responsibilities: Administer and support theElectronic Records Preservation Attestationglobally as perSEC regulationby performing below mentioned activities: Coordination with Global compliance for agreement on scope, exclusions, audience cut-off date, reminder schedule, launch and deadline date, attestation wordings, system, launch draft email wordings etc. Coordination with various regional compliance on the audience scoping and reporting requirements. Prepare population list across regions basis the scoping criteria and seek sign off from regional compliance teams. System setups, UAT & Production testing, changes on the same post feedback. Manage launch of affirmation program with proper control checks by ensuring quality. Manage employee queries on system access and errors along with business queries on staff exemption and assignments. Group mailbox management for tracking/actioning of requests/queries. Reporting MIS to businesses and compliance as per schedule or as and when requested. Regular follow-up with exempted staffs post program due date. Timely escalations of employee who respond of not following of applicable policies to Regional Heads. Documentation & producing evidences of records as and when requested. Record keeping of important program related emails in shared drive. Regular updates to SOP and other required documents. Mind Set: Mandatory Desired Domain / Technical Basic understanding of Investment Banking business and the Financial Regulatory environment Basic knowledge of the US regulatory environment Good MS office skills Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting Demonstrable project management skills Experience with using Word, Excel, PowerPoint Compliance Background. Power BI / Tableau and other data visualization tools Knowledge of Excel macros Interpersonal Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt Strong time management skills Strong attention to detail, with the ability to ensure data completeness and accuracy Strong administrative skills and analytical approach to problem solving Willingness to be flexible and adapt quickly to changing demands of the role Collaborates within and across teams, involving the right people

Posted 5 days ago

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