- Interacting with the Investment Banking, Global Markets and Asset Management Divisions to maintain the Firm's Confidential Lists
- Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
- Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
- Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel
- Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities
- College or university graduate with 4+ years of compliance experience in financial services, preferably with control room and/or private side compliance
- Strong understanding of Investment Banking & Securities business and products
- Strong understanding of the current regulatory environment and financial markets and/or securities regulation and rules
- Proficient in using Microsoft Office products, tools, and utilities for business use
- Excellent verbal and written communication skills
- Ability to work as a member of a team in a high-pressure, fast-paced environment
- Ability to work with automation and analytics tools (Alteryx, Tableau, Databases) a plus
- Passed CFA Level 1 or higher is added advantage
- Provided Compliance support to private side transactions
-
Vice President's Gsc
2 days ago
HSBC Bengaluru, Karnataka, India-Job description · **Business**:Global Risk & Compliance · **Open positions**:1 · **Role Title**: Vice President's GSC · **Global Career Band**:4 · **Location **_(Country / City)_**:India/ Bangalore/Kolkata/Gurgaon · **The Opportunity**: · **_Role purpose_** · Model Risk Manageme ...
-
Vice President
5 days ago
Recrud Bangalore, India Full timeVice President of User Experience Design- A leading company based out of Mumbai is currently seeking a highly experienced and innovative Vice President of User Experience Design to join our dynamic team.- This executive role is pivotal in shaping the future of our gaming experien ...
-
Vice President
6 days ago
TresVista Bengaluru, IndiaAbout TresVistaTresVista is a global enterprise offering a diversified portfolio of services that includes data analytics, investment diligence, industry research, business development, fund administration, and accounting. Working with a wide array of clients, including asset man ...
-
Vice President
6 days ago
TresVista Bengaluru, IndiaAbout TresVistaTresVista is a global enterprise offering a diversified portfolio of services that includes data analytics, investment diligence, industry research, business development, fund administration, and accounting. Working with a wide array of clients, including asset man ...
-
Vice President
1 day ago
HSBC Bengaluru, India Permanent - temps pleinSome careers have more impact than others. · If you're looking for a career where you can make a real impression, join HSBC and discover how valued you'll be. · HSBC is one of the largest banking and financial services organisations in the world, with operations in 64 countries ...
-
Vice President
2 weeks ago
Dezy Bengaluru, IndiaVP - Overview: · Dezy is a prominent player in the Health, Wellness & Fitness industry, committed to enhancing well-beingthrough innovative solutions and services. We are seeking a dynamic and seasoned individual to assumethe role of Vice President of Human Resources. This positi ...
-
Vice President
1 week ago
Diageo Bengaluru, IndiaVice President - Order to Cash - Process Optimisation Lead(OTC Team) · Work Location -Bangalore · Experience · - 15 to 23 years · Global Business Operations (GBO) Organisation maximises Diageo's Operating Model by supporting standard processes, organisation and systems with effec ...
-
Vice President
6 days ago
Morgan Stanley bangalore, IndiaVice President - Data Scientist Job Number: · Posting Date · :May 22, 2024 Primary Location · :Non-Japan Asia-India-Karnataka-BengaluruEducation Level:Master's Degree Job · :Risk ManagementEmployment Type:Full TimeJob Level:Vice President Description Qualifications ...
-
Vice President
6 days ago
Michael Page bangalore, IndiaWorking with a leading venture capital fund · Independence in operating within an entrepreneurial environment · About Our Client · Work with a leading tech venture capital fund focused on enabling entrepreneurs in India. Founded in 2000, the firm invests in the early-stage an ...
-
Vice President
6 days ago
Talent500 Bangalore, IndiaAbout the Role : · Position Title : Data Integration, Vice President · Corporate Title : Vice President · Reporting to : Rahul Srinivasan · Job Profile : Data Integration, Data Management and Delivery · Position details : Reporting to HR Technology Integrations Manager, resp ...
-
Vice President
1 week ago
Talent Corner HR Services Pvt Ltd Bengaluru, IndiaAbout the Company · A real estate consultancy firm that caters to the needs of developers, commercial players, high net worth individuals, and investors across the country. We provide services like fund raising, hospitality advisory, portfolio management, land transactions, leasi ...
-
Vice President
6 days ago
Zycus bangalore, IndiaVice President - Human Resources (HUM03651) · Human ResourcesBengaluruAbout UsZycus is a pioneer in Cognitive Procurement software and has been a trusted partner of choice for large global enterprises for two decades. Zycus has been consistently recognized by Gartner, Forrester, ...
-
Vice President
6 days ago
Mapletree bangalore, IndiaVice President / Senior Manager, Asset Management (Based in Bengaluru, India) · Employment Type: Permanent Location: India The Role · This position will lead asset management in the formulation and execution of asset management strategies and plans for the assigned real e ...
-
Vice President
6 days ago
12542 Citicorp Services India Private Limited bangalore, IndiaWhether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your gro ...
-
Vice President
6 days ago
Genpact bangalore, IndiaGenpact (NYSE: G) is a global professional services and solutions firm delivering outcomes that shape the future. Our 125,000+ people across 30+ countries are driven by our innate curiosity, entrepreneurial agility, and desire to create lasting value for clients. Powered by our p ...
-
Vice President
6 days ago
Citi bangalore, IndiaWhether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi , you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your gro ...
-
Vice President
1 week ago
Talent Corner HR Services Pvt Ltd Bengaluru, IndiaAbout the Company · A real estate consultancy firm that caters to the needs of developers, commercial players, high net worth individuals, and investors across the country. We provide services like fund raising, hospitality advisory, portfolio management, land transactions, leasi ...
-
Vice President
1 week ago
Morgan Stanley bangalore, IndiaVice President - JAVA/Cloud Expert-Technology Job Number: · Posting Date · :Apr 25, 2024 Primary Location · :Non-Japan Asia-India-India-Bengaluru Job · :TechnologyEmployment Type:Full TimeJob Level:Vice President Description Qualifications Primary Skills · 10- ...
-
Vice President
6 days ago
Zycus bangalore, IndiaVice President - Marketing (MAR04115) · MarketingBengaluru, MumbaiAbout UsZycus is a pioneer in Cognitive Procurement software and has been a trusted partner of choice for large global enterprises for two decades. Zycus has been consistently recognized by Gartner, Forrester, and ...
-
Vice President
2 days ago
WELLS FARGO BANK Bengaluru, India Full timeAbout this role: · Wells Fargo is seeking a Recruitment Manager (Vice President) to manage end-to-end recruitment process, hire top talent, and ensure effective stakeholder experience for specialist functions (Analytics, Product management, front and middle office capabilities). ...
Compliance - Control Room - Vice President - Bengaluru - Goldman Sachs
Description
Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance. Compliance accomplishes these through the firm's enterprise-wide compliance risk management program. As an independent control function and part of the firm's second line of defense, Compliance assesses the firm's compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm's responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Bengaluru. This is one of eight Goldman Sachs Control Rooms globally (including Salt Lake City, London, New York, Hong Kong, Tokyo and Sydney). The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses (., Investment Banking, and Merchant Banking, Finance and Risk) and public side businesses (., Securities, Asset Management, Private Wealth Management, and Global Investment Research). Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.
Principal Responsibilities:
Basic Qualifications:
Preferred Qualifications:
Knowledge of securities laws including SEC Reg M, SEC Rules 14e-5, 144A and Reg D etc