Compliance-Equity & Fixed Income, Bangalore(CA/MBA: 1-6yrs+)

for Leading Investment Bank
Job Location : Bangalore
Salary : 6 - 18 Lakhs Per Annum
Industry: KPO/Research Analytics
Job Type : Permanent
Experience: 3-5 Yr Exp Posted on: 03 Nov
Job Description


Employer          : Leading Investment Bank

Position            : Analyst / Associate (1-6yrs)

Location           : Bangalore

Profile              : Compliance-Equity & Fixed Income

Qualification      : CA/MBA

Roles and Responsibilities :

The Compliance Risk Control Group (”CRCG”) is part of the Securities Division Compliance team which provides compliance coverage and support to the Equities and FICC (Fixed Income, Currency and Commodities) Sales and Trading businesses.


CRCG’s primary function is to manage compliance and regulatory risk through the development and oversight of controls.


CRCG helps identify and prioritize the compliance and regulatory risks across the Securities Division businesses, and works to develop and/or enhance appropriate risk control measures to mitigate such risks. The controls include preventative front-end trading system controls and processes, surveillance reports and processes, and management information systems. Post development, CRCG maintains reviews and provides oversight of such controls to ensure the continuing integrity, relevance and proper performance of those controls.




Review and Oversight of Controls

  • Review of surveillance exceptions with Business Personnel and Compliance Officers.
  • Monitor that surveillance reviews are being performed properly from a qualitative and timeliness perspective.
  • Oversight of exception reviews generated by detective controls.
  • Identify enhancements to existing controls.
  • Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.
  • Participate in periodic risk assessments.


Development of Controls

  • Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.
  • Apply a consistent approach across businesses, products and regions.
  • Develop associated functional specifications and testing scripts.


Management Information Systems

Reporting of exception reviews generated by detective controls.

Please send your CV with below details if this suits your requirement: 

1. Current Salary
2. Expected Salary 
3. Current Employer 
4. Current Location 

5.ok for Bangalore-Yes /no



Phenom Placement



Keywords: Compliance Capital Markets Bangalore CA MBA Analyst Associate Equity Fixed Income
Desired Candidate Profile
Education: Any Graduate - Any Specialization,Any Post Graduate
Experience: 3-5 Yr Exp
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