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EIAC 1-3 YEARS

Zoek Pin Mumbai, Maharashtra

Competitive

Permanent (Full time)

Posted 7 days ago

Job Description Experience The ideal candidate will have 6 – 12 months of investment banking experience preferably with experience in Employee Personal Account Trading at a large financial institution 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 Firm’s 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) and 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 Global 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 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 (LCD CoE) is a part of Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy. Team: Employee Trading and Investing Activities Employee Trading and Investing is a global team across New York, London, Tokyo and Hong Kong. The offshore Legal and Compliance Department in Mumbai is a department of the Legal and Compliance Division and provides support services to the onshore teams. This role will form part of offshore Legal and Compliance Division in Mumbai. Primary Responsibilities (Day Job) Review outside account documentation Review trades in employee accounts Requirements Experience The ideal candidate will have 6 – 12 months of investment banking experience preferably with experience in Employee Personal Account Trading at a large financial institution Skills and Qualities Strong Communication skills Strong Analytical Skills Coverage Monday to Friday from 9:00 AM to 6:00PM India time with flexibility on standard working hours for time sensitive matters Periodic evening calls with US and EMEA internal clients and vendors

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