Conduct Risk Associate 3-5 Yrs

Job Description

Company Profile Client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firms employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and strong team ethic. Client can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.Department ProfileLegal and Compliance Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

• The Legal Department provides guidance, requirements, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
• The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
• Global Financial Crimes is responsible for the development and governance of the Firms financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG), Government, and Political Activities Compliance (GPAC) programs.
• The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Clients regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Client entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

LCD Center of Excellence - Mumbai (LCDCoE) is a part of s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy. The Compliance Governance and Risk Team report to the EMEA Compliance COO. The primary objective is to support senior management in running the Division in an effective and efficient manner. The team has a broad range of responsibilities. The core activities include co-ordination Clents of the Divisions management information, management of the Annual Compliance plan, Integrated Risk assessment and key regulatory processes as well as managing the EMEA Compliance budget and headcount. This role will have exposure to a wide set of regional and global Compliance stakeholders and is an ideal opportunity to gain a broad overview of the Departments and their functions, the range of Clients businesses and the governance and organization of the Firm.Primary ResponsibilitiesThe role involves supporting the identification, escalation, remediation, reporting and understanding of Conduct Risk and how it can manifest itself within Client. The role is broad, and the successful candidate will need to have the ability to analyze and challenge, be capable of multi-tasking and able to exercise good judgement. This role will report to the EMEA Head of Conduct Risk Framework and requires an individual capable of operating collaboratively within the Legal & Compliance Division and with other Infrastructure and Business Departments. The role encompasses managing a variety of Compliance led Conduct Risk initiatives, including:

• Monitoring of conduct risk incidents.
• Production of conduct risk indicators to identify themes and trends and preparing management information
• Coordinating and executing the annual conduct risk assessment.
• Support Conduct Risk Governance fora to ensure there is effective oversight of conduct risk within EMEA.
• Executing initiatives and projects to enhance components of the Framework in line with annual planning or other EMEA or Global initiatives and

Supporting the governance and oversight of broader Compliance initiatives including metric optimization and oversight of core processesSkills required (essential)

• 3 years+ working experience, preferably in financial services with a leading bank, securities house, regulator or consultancy practice
• Excellent interpersonal and stakeholder management skills
• Ability to deliver within defined timelines
• Strong attention to detail
• Professional and articulate
• Ability to communicate issues and come up with pragmatic proposals
• Confident self-starter and proactive approach to problem solving
• Ability to remain focused under pressure and prioritize workloads
• Ability to analyze and challenge the data received from stakeholders as appropriate
• Sound judgement and ability to effectively respond to issues and escalate appropriately
• Ability to deliver high-quality output, with a focus on detail, accuracy, and completeness
• Conduct quality checks to ensure data shared with senior management is accurate
• Previous experience working with large data sets performing analysis and producing Management Information
• Monitor deadlines and communicate delays and suggest options for resolutions
• Proficiency in MS Office

Keys to success

• It is important that the candidate is able to work in a flexible environment, as plans and priorities can change frequently.
• High level of integrity, given the sensitive nature of some of the information made available. Much of the sensitive information can only be shared with certain audiences and the candidate should be able to clearly differentiate between those that should and should not have this data, as well as knowing when to escalate if unsure.
• Due to the multi-tasking nature of the role, the candidate should be able to prioritize their own workload accordingly, tackling all projects to a high standard and within deadlines.

CoverageMonday to Friday from 11:30 AM to 8:30 PM. Coverage is dependent on business needs so flexibility on required finish time or full days coverage may be required during some Indian holidays.

Keyskills :
Ms Officerisk managementComplianceManagementData Analysisregulatory relationsFinancial Servicesconduct risk