Role & Responsibilities:
Administer and support the Electronic Records Preservation Attestation globally as per SEC regulation by performing below mentioned activities:
- Coordination with Global compliance for agreement on scope, exclusions, audience cut-off date, reminder schedule, launch and deadline date, attestation wordings, system, launch draft email wordings etc.
- Coordination with various regional compliance on the audience scoping and reporting requirements. Prepare population list across regions basis the scoping criteria and seek sign off from regional compliance teams.
- System setups, UAT & Production testing, changes on the same post feedback.
- Manage launch of affirmation program with proper control checks by ensuring quality.
- Manage employee queries on system access and errors along with business queries on staff exemption and assignments. Group mailbox management for tracking/actioning of requests/queries.
- Reporting MIS to businesses and compliance as per schedule or as and when requested.
- Regular follow-up with exempted staffs post program due date.
- Timely escalations of employee who respond of not following of applicable policies to Regional Heads.
- Documentation & producing evidences of records as and when requested. Record keeping of important program related emails in shared drive.
- Regular updates to SOP and other required documents.
Mind Set:
Mandatory Desired Domain / Technical
- Basic understanding of Investment Banking business and the Financial Regulatory environment
- Basic knowledge of the US regulatory environment
- Good MS office skills
- Knowledge of Regulatory registrations & Certifications, Training/Affirmations, US Blue Sheet Regulatory Reporting
- Demonstrable project management skills
- Experience with using Word, Excel, PowerPoint
- Compliance Background.
- Power BI / Tableau and other data visualization tools
- Knowledge of Excel macros
Interpersonal
- Ability to represent the Compliance function credibly in discussions with other departments, including front office and Human Resources
- Good interpersonal skills; high ethical standard; collaborative; detail oriented, with a willingness to learn and adapt
- Strong time management skills
- Strong attention to detail, with the ability to ensure data completeness and accuracy
- Strong administrative skills and analytical approach to problem solving
- Willingness to be flexible and adapt quickly to changing demands of the role
- Collaborates within and across teams, involving the right people
