93+ Applicants
Posted: 3 months ago
3-8 years
Mumbai
work from office
Posted: 3 months ago
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Applicants: 93+
Job Description
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Job Description
Job description
- Participate in the control framework of employees whfall in scope of the DFA registration and register them within the CACIB AP list, maintain this list on a day-to-day basis and monitors it through monthly controls.
Compl ment
A minimum of 3 years / 5 years of professional experience Minimum experience level 3-5 years Skills needed Soft-Skills :
- Excellent analytical and research skills;
- Clarity and precision of written and oral communications;
- Ability twork in a team and with the business ;
- Ability tlisten and synthesize IT tools Type of professional experience: experience in the Financial Markets environment is expected for this position in, Middle, Back-office or a specialist of controls such as a Permanent Controller or an Auditor Business skills :
- Knowledge of market activities, products and processes ;
- Knowledge of some regulations such as MiFID, DFA, financial code (Global FX code, FMSB);Would be a plus:- Knowledge / past experience in controls;- Corporate and Investment Banking business experience;
- A certain level of sensitivity ttest automation and data engineering solutions
Within the Compliance Monitoring team, you are mainly responsible for :
- Assessing non-compliance risks by ensuring, through a risk-based approach, the proper application of financial market regulations, laws and codes;
- Performing compliance monitoring controls and/or spot checks
- Carry out compliance checks on MiFID, EMIR, ESMA, SFTR, PRIIPS, DFA regulations;
- Participate in the completion of the Compliance monitoring control plan: each Compliance Controller shall execute his/her controls and fill the related results intthe dedicated spreadsheet;
- Perform periodic consolidated reports, Key Production Indicators, and Management Indicators from the global Local Compliance Network, with a focus on Market activities monitoring.
- Participate in the consolidation of stakeholders contributions and communication of the finalized support tGMRC management.
Compl ment
Participate in the definition of dashboards and service management reports;
- Participate in ad-hoc requests, special projects, investigations or regulatory reviews;
- Participate in the drafting and maintenance of procedures and modernization of processes.
- Be involved, at your own level, in the dissemination of the Compliance culture, including in your interactions with the Business line and Compliance advisory.
Application criteria Starting date 01/02/2025 Position with management NMinimum level of study Bachelor Degree / BSc Degree or equivalent Training / Specialization Minimum Bachelor s degree (or equivalent) engineering school, business school, university courses, Law - Participate in ad-hoc requests, special projects, investigations or regulatory reviews;
- Participate in the drafting and maintenance of procedures and modernization of processes.
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- Be involved, at your own level, in the dissemination of the Compliance culture, including in your interactions with the Business line and Compliance advisory.
A minimum of 3 years / 5 years of professional experience Minimum experience level 3-5 years Skills needed Soft-Skills :
- Excellent analytical and research skills;
- Clarity and precision of written and oral communications;
- Ability twork in a team and with the business ;
- Ability tlisten and synthesize IT tools Type of professional experience: experience in the Financial Markets environment is expected for this position in, Middle, Back-office or a specialist of controls such as a Permanent Controller or an Auditor Business skills :
- Knowledge of market activities, products and processes ;
- Knowledge of some regulations such as MiFID, DFA, financial code (Global FX code, FMSB);Would be a plus:- Knowledge / past experience in controls;- Corporate and Investment Banking business experience;
- A certain level of sensitivity ttest automation and data engineering solutions
Skills
Service ManagementPDFComplianceTranscriptionAnalyticalBack OfficeHTMLInvestment BankingIf an employer asks you to pay any kind of fee, please notify us immediately. Jobaaj does not charge any fee from the applicants and we do not allow other companies also to do so.
Important dates & deadlines?
Application Deadline
24 Apr 26, 06:26 PM IST
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