DVP Compliance

Job Description

Roles and ResponsibilitiesMarket Integrity (MI) Expert CompliancePosition PurposeAs Compliance Transformation progresses, specialist areas, known as Domains, are to be set up that encompasses the areas of: Financial Security, KYC, Client s Interests Protection, Professional Ethics and Market IntegrityIt s MI Expert position will be accountable for the handling of local Compliance requirements and development of MI Compliance skills at par with Company standards and to create Compliance culture on MI topics within company and includes responsibility belongs to MI Correspondent for it to works in collaboration with the MI domainFurthermore, develop necessary skills and raise existing Transaction Monitoring Team Manager as Market Integrity Surveillance Responsible Officer (MISRO), this role will also act as a MISRO Transaction Monitoring includes both MI (Market Abuse) and AML aspects as per the local regulators (FIU, SEBI, RBI) expectations.ResponsibilitiesMI correspondent for CompanyDeputize to the Head of Compliance for MI domain activities and the additional Compliance activities as assigned from time to timeManage and guide Compliance MI domain related activitieso Advisor on Market Integrity topicso Ensures local regulatory watcho Ensures that all regulations related to Market Integrity are covered by policieso Ensures that Businesses & Compliance are sensitized to those regulationsAdvisor for the regulatory, Exchanges and Depository interactions and correspondences.Develops and maintains a strong Compliance framework and cultureDevelops expertise in compliance MI domain with the support of Group MI expertsActs as a relay for the MI domain on MI topics Develops collaborative working principles Understand and reconcile policies and India regulatory requirements in MI domain.o Adapts global policies to local constraints & deploy them at local levelo Validates the policies to be adhered and the controls to be implemented o Participates to training Coordinates decisions & resolution of advisory queries with respective stakeholders, Territory, APAC or global teams following the pre-agreed decision process Relays the animation of Compliance Communities within his/her OP with the support of the Domains Compliance stakeholders in India as well as in APAC Facilitate the set-up of a control environment to ensure adherence to MI and Local Compliance requirements on a continuous basis Responsible for escalating sensitive transactions, incidents & investigations o Detects transactions / activities with potential impact on clients / activities / reputation o Escalates the MI/AML files at Territory/Region level when required / requested or if considered necessary o Escalates serious incidents and regulator investigations at Territory/Regional level Responsible for implementing Market Integrity initiatives & projects o Implements MI global/Regional initiatives & projects, in coordination with central domain and taking into account local constraints Managerial scope o Oversight Transaction Monitoring team and the activities (MI and AML) o Decisions and validate recruitments, appraisals, priorities for N-1 employees Monitor the training roadmap of his/her teams o Represent, Organise in MI Committees as permanent invitee as and when applicable Organizational Enablers o Define annual priorities with input from MI stakeholders from Compliance Territory and APAC o HR: Recruit, develop, retain and manage MI/ Transaction Monitoring staff o Compliance COO: Deploy MI tools & systems and assist in GCP Sponsorship of the Market Integrity/ Transaction Monitoring tools in their perimeter (e.g. Trackwizz) Works in close cooperation with MI APAC domains Works in close cooperation with the Head of Compliance and business line heads to ensure consistency of decisions and implementation of policies ,

Keyskills :
global teamsmonitoring toolsprofessional ethicscontrol environmentregulatory requirementstransaction monitoringkycgcpsetapacethicscontroltrainingsecuritybusinessanimationterritoryoversightadherence