Vacancy For CA/CS/MBA/LLB As PBOS Compliance Analyst With Barclays At Mumbai

Risk and Control Objective

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Barclays Policies and Policy Standards.

Working Flexibly

We’re committed to providing a supportive and inclusive culture and environment for you to work in. This environment recognises and supports ways to balance your personal needs, alongside the professional needs of our business. Providing the opportunity for all our employees, globally to work flexibly empowers each of us to work in a way that suits our lives as well as enabling us to better service our customers’ and clients’ needs. Whether you have family commitments or you’re a carer, or whether you need study time or wish to pursue personal interests, our approach to working flexibly is designed to help you balance your life. 

If you would like some flexibility then please discuss this with the hiring manager.

Introduction:

• To provide support on regulatory matters pertaining to the various licenses of BSIPL ;
• To manage and update internal records and policies  on an ongoing basis;
• To manage regulatory filings and submissions for BSIPL ;
• To support audits and inspections on behalf of BSIPL;
• To coordinate and advise on Employee Central activities like Gifts & Entertainment, Personal Account Dealing (PAD), Outside Business Interests, Licensing & Certifications etc.;
• To support the Trade Surveillance activities of BSIPL.

What will you be doing?

1. Business and other advisory, communication and escalation:

• Maintain regular communication/liaison with relevant businesses to ensure that they are aware of the business and regulatory risks, including advising them of regulatory changes, audits and inspections and breaches, if any.
• Attend and contribute to local/regional/global team meetings/calls, helping identify and share best practices, and undertaking peer reviews.

2. Policies and Procedures:

• Manage and update Compliance Manual for BSIPL at agreed interval;
• Ensure that the local business has robust procedures for promptly raising concerns, including new risks, policy breaches and exceptions, and ensure significant matters are captured in the Risk Forum/escalated to Senior Management.
• Maintenance and updation of Regulatory Matrix for various licenses of BSIPL.

3. Regulatory and other authority liaison:

• Support regulators’ visits- audits and inspections.

4. Assurance oversight:

• Provide support for all regulatory audits and inspections
• Work with local business (es) to address issues identified.

5. Interpretation and reporting, including MI

• To ensure timely submission of regular and ad-hoc MI and input to Region/London, and to all local/other Compliance, Board or Committee reporting.
• Analyse MI and other reports to identify trends and provide commentary, for example on local issues affecting the MI. Where appropriate, engage with relevant stakeholders to ensure owners of action to resolve issues identified through the MI, including tracking of the actions to completion.

6. Training

• Ensure that appropriate compliance induction, annual refresher, and other topical training is delivered locally/centrally and completed by all staff within agreed timeframes, to include producing or sourcing (e.g. from the central team) the material as required, and ensuring that completion records are maintained locally/centrally.
• Develop and deliver specific regulatory training locally, according to identified risks.

7. Trade Surveillance

• Managing the alerts generated internally / by Exchanges, on trades executed for clients of BSIPL; conducting initial checks and analysis and highlighting concerns, if any, to AVP/VP Compliance.
• Collate data on alerts managed and creating MI for submission to local/regional teams and BSIPL Board.

What we’re looking for:

• CA/CS/ MBA/Law degree
• Understanding of SEBI/Exchange Regulations/Securities Markets and prior work experience in a securities market intermediary will be preferred
• Strength in client knowledge/dealings

Skills that will help you in the role:

• • Advanced/competent user of Microsoft Office packages
• Ability to prioritise and manage demanding workloads
• Excellent communication skills at all levels, including training and presentation skills
• Willing to learn on an ongoing basis

Where will you be working?

• Mumbai

Date Posted:02-Oct-2021
Posted By: Abhinash kumar jha
Views 225

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