Asst.vice President - Investment Banking Compliance

Ikya Human Capital Solutions Pvt Ltd
  • Mumbai
  • Confidential
  • 10-13 years
  • Views
  • 02 Feb 2017

  • Operations

  • Banking - Corporate
Job Description

Providing compliance support for the colleagues in Off shoring Centre operating in India under Investment Banking Division umbrella and in particular the areas related to Investment Banking activities.
2. Be the Single point of contact for service centers and interaction for Regulatory & Compliance and Operations perspective.
3. Coordination and regular communication with Regulatory and Compliance coordinators across the outsourcing regions.
4. Responsible for updating and maintaining Regulatory Matrix that includes Regulatory, and Compliance requirements of various jurisdictions supported from India.
5. Percolating policies and regulations impacting processes and services migrated to all the service centers. Disseminate regulatory guidelines received from outsourcing centres to the operating units and ensure embedment in the processes.
6. Conducting reviews across processes to ensure Regulatory requirements are being adhered to from a service recipients perspective
7. Escalate matters to country compliance officers for issues affecting the respective domains.
8. Develop & deliver training to staff on local regulatory issues.
9. Co-ordinating inspections by Regulatory Bodies in the service centers and providing required documentation for inspections.
10. Teams primary responsibilities are interpreting and implementing regulatory requirements, group
policies, managing the subsequent controls and working closely with the businesses teams to provide direction and interpretation of regulatory requirements and advise on products and projects.
11. The teams role also incorporates an operations and advisory element as well as ongoing support for training needs to the business.
12. As part of the Offshore Centre Compliance team, you will be required to work closely with Compliance colleagues from the centres who have outsourced their business processes to India.
13. Region and Group business/country heads and senior management to support the effective
management of the Compliance requirements.

Qualifications /Education: MBA / Chartered Accountant /Company Secretary/Additional qualification in Law.
2. Experience required: 8 - 10 years in compliance function at Global Offshoring Centres should have worked on all banking compliance activities like AML , Legal Compliance, Regulatory, Due Diligence, Documentation, RBI guidance and Group Policy etc.
3. Candidate should be at Manager Level at current job.
3. Experience in Investment-Banking operations, Corporate Law, Regulatory Relationship Management.
4. Team Player ability to convince all stakeholders of the issues at hand.
5. Ability to take independent decisions and guide business in light of regulatory environment
6. Ability to handle the areas of difference with business and escalate to Head Compliance if need.
7. Take charge for implementing the regulatory changes and their impact on business.


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