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Chief Compliance Officer
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- Posted By: GR Placements, Pune
- Address:
- Date Posted: 18th Feb 2010
- Salary: Negotiable
- Location: Koregaon Bhima (411001)
- Reference Code:
- Views Since Posting: 312
- Full Description:
• daily analysis and investigation of alerts, generated by automated trade surveillance systems
• documenting and reporting findings of alert investigations, including execution of appropriate escalation procedures
• preparing reports to senior management regarding the status of alert reviews and escalation
• ensuring that monitoring procedures and parameters are updated to facilitate change in business, regulations and market conditions
• Assist in responding to inquiries from the Hong Kong regulators and will involve data collection and coordinating responses
• Conduct manual trade surveillance, including prepare, analyse and review of trade related reports generated from other sources
• point of contact within hub location to provide basic subject matter expertise
• assist in documenting policies and procedures related to trade surveillance
• assist in planning, development and testing of new surveillance requirements
Compliance reviews
• Assist to conduct special and ad hoc compliance review projects or investigation
• Involve in monitoring activities including tape listening and electronic messages reviews
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