ICRM Risk Control and Admin Officer

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ICRM Risk Control and Admin Officer-18066359
Description
 

Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible for

the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. When potentially anomalous behavior is detected, the team is responsible for escalating the activity and working collaboratively with partners across the first and second lines of defense to determine the appropriate resolution of the matter, which may include employee discipline. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside activities surveillance, and information barrier surveillance.

 

Key Activities include:

  • Reviewing and analyzing surveillance alerts and/or reports relating to firm, employee and client trading activity. Properly documenting the review and disposition of the exceptions as well as escalating matters appropriately
  • Gathering and analyzing trade data to assist in the Firm’s response to inquiries received from governmental and exchange regulatory bodies. Additionally, supporting the compliance group in evaluating surveillance results for potential problems, communicating surveillance findings to management in a clear and concise manner as well as interacting with legal and other compliance personnel
  • Responding to inquiries or requests from internal partners (e.g. ICRM Assurance, Internal Audit, Legal)
  • Assisting with the design and implementation of new surveillances as well as the refinement of existing ones. Interacting with IT on the specific design and testing of new surveillances
  • Additional activities including handling telephone hotlines and performing data entry in various systems
  • Additional duties as assigned

In addition, this position will involve the following responsibilities:

  • Handling and responding to CSC Governance Requirements on a timely basis: Attending monthly Risk & Control meetings and update calls, preparing BRCC reports, ensuring the team adhere to Information Security policies, maintaining monthly MI and Reporting (Corrective Action Plans, Migration & Insourcing Activities, Audits, Policy Breaches)
  • Handle BAU/monthly reviews of private side employees (PTP/ETP), mandatory training, mandatory leave, etc. Track audits (future & ongoing) as well as issues/actions resulting from audits
  • Appraise the BU lead and their leadership team of new and changed policies, and understand the governance functions within the CSC
  • Manage and track documents related to service agreements and cross-border data clearance (CBDC). Develop expert knowledge and act as a go-to resource for any issues related to Inter-Company Service Agreements (ACSA), Cross Border Application Tool (CBAT) and Additional Document Requirements (ADR’s)
  • Liaise with ICRM Infrastructure & Strategy (I&S) team and the CSC Finance team to develop billing methodology, track billing, monitor bill aging and escalate as appropriate
  • Understanding governance requirements for new team build-outs: Creation of fact sheets, assisting global/regional/local management with all required governance documentation, conducting go-live reviews, setting expectations
  • Continuously develop and test Continuity of Business (COB) plans across all ICRM Compliance programs within the BU. Conduct call tree tests, assist with COB simulation planning and annual COB tests. Serve as a secondary Business Recovery Coordinator
  • Headcount and ‘roster’ tracking: Understand global location plan and ensure that org designs/migrations/etc. are in-line, track movers/joiners/leavers, manage seating and over-subscribed workspace (OSW), maintain distribution lists, draft organization structure designs and diagrams
  • Vendor Management: Storing/maintaining service agreements with third parties such as SMARTS, joining calls with operations teams to understand and manage relationships
  • Coordinate with infrastructure teams to ensure that systems and floor access is available to new joiners and visitors. Handle traveller requirements (incoming/outgoing) by understanding related processes such as visa invitation letters. Assist with Workshops and Town Hall set up
  • Take ownership of new joiner training procedures for Surveillance & Monitoring team: organize annual refresher training, track attestations, monitor and report on completion rates. Assist lead with MI for annual training objectives across the team
  • Assist leads with general ‘health’ checks and processes across their organization: creation of day-one packs for audits, general review of systems/drive access, records management, and so on
  • Develop strong knowledge related to corporate processes – billing, infrastructure, facilities, travel, security, etc. – and act as an information point across the team for related queries
  • Candidate will be expected to handle the needs for the Mumbai ICRM CSC team directly as well as providing support for the ICRM CSC teams in Pune and Manila

Qualifications
 

Required Education:

  • Bachelor’s degree; experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof

Preferred Education:

  • Advanced degree (e.g. JD, MBA) a plus

Required Knowledge and Skills:

  • Knowledge of Compliance laws, rules, regulations, risks and typologies
  • Excellent written and verbal communication skills
  • Must be a self-starter, flexible, innovative and adaptive
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Strong project management and organizational skills and capability to handle multiple projects at one time
  • Proficient in MS Office applications (Excel, Word, PowerPoint)
  • Some knowledge in area of focus
  • Strong written English-language presentation skills

Preferred Knowledge and Skills:

  • Understanding/experience of driving Lean process transformation
  • Previous exposure to Financial/Budget reports or Legal/Contractual documents is advantageous
  • Experience in record management and handling of sensitive information.
  



18 March 2019
Location: India Marche Mumbai
Work type:
Full time
Sector:
Banking and Financial Services
Profession:
Other
PLEASE! No enquiries from Recruitment Agencies or Headhunters.

Only direct applications will be considered.

This career opportunity is no longer open.
Please search for current vacancies here.


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