Overview

The Compliance Division has established a dynamic team of professionals in Bangalore. The Bangalore team plays a central role in the division’s global strategy to provide solutions to the firm’s traditional business and growth market strategy. We work alongside functional counterparts in many global offices to implement the firm’s regulatory and reputational risk management program.

Principal Responsibilities:

  • Grasp business, compliance and regulatory rules and policies
  • Perform and prepare reports relating to surveillances including but not limited to holdings, positions, personal account trading, restricted trading.

RESPONSIBILITIES AND QUALIFICATIONS:

  • Ability to handle multiple tasks simultaneously and work under pressure
  • Proactive, self-motivated and organized
  • Ability to prioritize and make decisions in a fast paced-environment
  • Good judgment – know when and how to escalate issues
  • Inquisitive and investigative skills
  • Basic understanding of the fundamentals of the financial industry
  • Experience in financial, legal, accounting or regulatory areas is preferred
  • Computer skills:
    • Microsoft Office Applications
    • Visual Basic for Applications programming is a desired but not required skill set

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