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Compliance, Manager

2.00 to 5.00 Years   Mumbai City   19 Dec, 2021
LEK Consulting
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryRecruitment Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

Position Overview:

  • The Compliance Manager will work across L.E.K. s global, Legal team, which serves the firm s internal and external clients. The incumbent carries out responsibilities within Legal s risk and compliance team, focusing on securities trading management, client onboarding, information security, and risk management functions.
  • These functions include but are not limited to, managing the firm s trading platform, Know-Your-Customer ( KYC ) and Enhanced Due Diligence ( EDD )/background checking processes, and working cross-functionally with other L.E.K. departments and teams, such as Finance and Knowledge Management, to ensure timely delivery of various compliance matters and protocols.
  • This position requires a high level of project management skill and ability. The successful candidate must be an agile and out-of-the-box thinker who can problem solve complex legal and business issues.
  • Moreover, the incumbent must have a strong business acumen, with ability to quickly understand the firm s business, as well as the rules, regulations, and compliance matters that impact the firm.

Key Relationships:

  • Directly reports to: Group General Counsel
  • Additional relationships: Finance and Knowledge Management located at the Mumbai Office

Major Responsibilities:

  • Manage the firm s KYC and EDD client onboarding processes
  • Manage the development of new functionalities, programs, and systems in connection with the firm s KYC, onboarding, and EDD function, and providing guidance to Legal and Finance teams on client onboarding matters
  • Manage the firm s Securities Trading Platform
  • Manage Legal s global deployment of risk management trainings for partners and staff
  • Work cross-functionally with the Knowledge Management team, to manage compliance-related issues, platforms, and programs
  • Review and update the firm s global anti-corruption and anti-bribery policies and compliance protocols
  • Review and update the firm s securities trading policies
  • Work at the direction of the Group General Counsel and closely with the global Legal team in connection with compliance matters; and,
  • Assist Legal with strategic projects, as necessary

Candidate Requirements:

  • Strong analytical and risk assessment skills
  • A detailed-oriented person, who exercises excellent judgement and professionalism, and thinks creatively and critically, to manage multiple workflows, projects and programs
  • A strong business acumen
  • The ability to work in a fast-paced environment, appropriately escalating issues when needed, and meet firm deadlines
  • The ability to work both independently and in a team-based environment, with a good sense of emotional intelligence and a dynamic personality, to work collaboratively with a diverse team, forging strong relationships with colleagues and clients
  • Ability to multi-task, incorporating outstanding organizational skills and flexibility, to prioritize work and deliver the maximum business value

Candidate Qualifications

  • A Postgraduate degree, with an accomplished academic record, from a top-ranked, accredited college or university
  • 2-4 years of compliance management, project management, or related experience, preferably within a professional services firm, or similar environment
  • Superior written/verbal communication and interpersonal skills
  • Familiarity and comfort with technology solutions, including databases
,

Keyskills :
strong business acumendue diligenceprivate equityrisk managementrisk assessmentbusiness acumenlegal complianceclient onboardingglobal deploymentassessment skillsproject managementinformation securityknowledge managementinterpersonal skills

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