Responsibilities
Primary:
- Develop team programs that support the organization's business strategy
- Ensure financial compliance with Organization's policies and procedures and applicable legal rules and banking regulations
- Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity
- The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture
- Ability to work independently and accurately prioritize workload with minimal supervision
Functional:
- Analytical skills and solid financial expertise are paramount
- Well versed with various asset classes like Equity, derivatives, Fixed Income.
- The candidate must be ready to cope with a significant workload of alerts to review every day.
- Promptly undertake Trade surveillance using the firm's surveillance tools like SMARTS.
- Review alerts under various models but not limited to Insider dealing, Ramping, Layering, Spoofing, Wash etc.
- Promptly investigate and clearly highlight suspicious trades arising from the surveillance activities, involving advisory compliance officers as required.
- Ready to work in shifts as per stakeholder's expectation.
- Promptly act as back up for tasks performed by stakeholder.
- Produce / share various process related MIS as & when required.
- Provide training to new joiners & perform QA if required.
- Required to exercise judgment on regulatory risks applicable for both Trade and Communications surveillance.
- Providing feedback or suggestions for reduction of false positive alerts
- Work on Thresholds and suggest new models to mitigate risk.
- Perform UAT of new tools and applications and share findings with Data Science team.
- Timely implementation of internal and external audit points & compliant with IGAD recommendations
- Actively participate in regulatory and internal investigations or any ad-hoc investigations as required.
- Manage and Mitigate Risks - Conclude investigations of potential and actual non-compliant activities (Intermediate) & Review system safeguards and recommend process enhancements.
Team Leadership
- Ensure team members have individual performance plans
- Monitor team performance and conduct regular appraisals in absence of Line Manager
- Manage training and development of team members.
- Cooperate and support the management in implementation of any other initiative that may arise during the year
Relationship Management
- Foster a customer-focused working environment, with clear responsibilities and expectations for team members
- Develop and maintain collaborative relationships with key clients/ stakeholders
- Establish and maintain active and constructive relationships with other teams in the organization.
- Ensure team members understand Client needs and deliver the expected outcomes
- Regularly review work processes for areas of improvement
- Share best practices with peers and support in creating a Culture of Excellence
Profile Required
- Experience - 4 years of relevant experience in Trade Surveillance & Compliance
- Bachelor's degree or equivalent work experience required.
- Must have a proven experience in a Trade Surveillance role using SMARTS / Actimize Trade Surveillance tool.
- Knowledge of Risk, Compliance and Controls
- Having experience in both Trade surveillance and Communication Surveillance will be an added advantage
- Good analytical skills with high attention to detail and accuracy
- Excellent verbal, written, and interpersonal communication skills
- Ability to interact with all levels of an organization
- Strong organizational, multi-tasking, and prioritizing skills
- Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
- Ability to articulate complex concepts in a clear manner
- Solid critical thinking, problem solving and decision-making skills
- Ability to develop partnerships and collaborate with other business and functional areas
- Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important.
- Ability to identify risks and propose mitigation plans
- Advanced Microsoft Office skills
- Specific expertise in interacting and working with large processing / operations teams and in managing an on-shore / off-shore operating model
- French speaking will be added advantage, as many traders and sales will be in French.
Name: Leading Investment Bank
Industry: Financial Services
Type: Private
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