Experience
7 - 12 yrs
Job Location
Mumbai, India
Vacancy
1
Designation
Senior Compliance Officer
Job Type
Not specified
Job Description
Key Responsibilities and Duties
Core Daily Equity Ownership Monitoring Responsibilities:
- Monitor and analyze enterprise-wide equity positions.
- Maintain daily reports and applications to monitor reportable positions.
- Determine holdings database data integrity and interface with IT and data management as necessary to resolve data issues.
- Document and monitor data exceptions.
- Gather data to prepare Ad Hoc Non-U.S. Large Shareholder disclosures.
- Monitor affiliate intra-day trading activity in reportable securities.
- Monitor and update daily UK and Irish Takeover Panel Disclosure Lists and associated daily trading.
- Conduct analyses on issuer poison pills, regulated industries and state statutes.
- Develop and maintain various holdings data spreadsheets and present to leadership for internal review.
- Review holdings on restriction/limited capacity reports.
- Assist leadership with special projects.
- Gather data to provide timely and accurate research for escalated exceptions to the OMR manager.
Regulatory Reporting:
- Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures: Non US Large Shareholder Disclosures, Schedule 13D/G filings, Form 13F filings, Form 13H filings, CFTC/NFA, Form PF, and Federal Reserve TIC and other regulatory filings.
- Maintain an up-to-date foreign regulations and industry rules matrix.
- General Compliance Responsibilities
- Accurate and timely completion of reports, projects and initiatives as required. (large shareholder disclosures)
- Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests (internal and external clients).
Educational Requirements
- University (Degree) Preferred
Work Experience
- 5+ Years Required; 7+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level 8IC
Related Skills
Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking
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