- Be a subject matter expert in Employee Compliance activities.
- Lead the Personal Account Dealing (PAD), Employee Trade Surveillance and Global Attestation (GA) pillars in DIPL.
- Manage a team of around 25 tenured Employee Compliance Officers.
- Manage escalations and EC DIPL team regarding EC matters.
- Escalation point for breach and consequence management reviews / queries from stakeholder.
- Ensure escalated cases are followed up and documented and updated in a timely manner.
- Ensure the task queues are handled and closed in a timely manner to mitigate backlogs.
- Identify risk-based EC operating efficiencies.
- Review, investigate and escalate irregularities and abnormal activities.
- Provide general oversight on EC activities performed by the EC BAU processing team.
- Partner with other Compliance teams such as Country Compliance and Business Line Compliance in APAC on EC matters
- Provide support to and manage senior management queries.
- Work with global/regional teams to create MI Reports as and when required to senior management.
- Provide support on global and ad hoc EC initiatives.
- Remain aware of any regional regulatory developments which may impact the EC processes.
- Manage adhoc IT projects relating to Employee Compliance, perform UAT testing of related applications, implementation of new systems and interaction with the local IT.
Your skills and experience
- 12 to 15 years of Investment Banking experience in Compliance Operation processes.
- MBA or equivalent degree or PG in Commerce and Finance.
- Strong operations background in standard banking products, financial market products, stock exchanges and should be able to interpret policies.
- Skilled in verbal and written articulation/communication with the senior management comfortable in making presentations and exposure to handle audits.
- Strong analytical skills, attention to detail, service commitment and solid people management skills, manage communication upward and downward.
- Innovative approach to work and ability to continuously identify and implement process improvements and automate/create efficiencies.
- The ability to work under pressure and within tight deadlines with excellent quality.
- Action oriented with a strong focus on completing tasks while working independently and with minimum direction.
- Well versed in using MS office, PowerPoint, and Excel (Pivots, Vlookup, formulas and data analysis)
