Global Head of Employee Compliance Operations and Head of Compliance
- Primetrace
- 15 - 20 years
- Noida, Gurugram
- 3 months ago
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Job Description
About this role
As Head of Employee Compliance Operations, you will build a center of excellence for processing employee-related disclosures and executing key controls that help identify potential / actual conflicts associated with personal trading, private investments, outside business activities, gifts & entertainment and other activities. You will be responsible for partnering with the Head of Employee Compliance Policy & Advisory who oversees the framework and related requirements to manage associated risks of these activities. You will be responsible for building scale and efficiencies, assuring streamlined workflows and quality assurance as your team works to support employees globally.
As Head of India Compliance, you will have oversight of the Compliance function in India and provide compliance and regulatory advice on a range of matters. You will engage with regulators, industry associations and regional and global business stakeholders as you evaluate regulatory and policy considerations required for the successful execution of BlackRock s strategic business priorities in India. You will focus on management of the Compliance teams located in the Gurgaon and Mumbai office, setting strategy, assuring robust culture and supporting career development.
You will have a matrix reporting line into the Global Head of Enterprise Compliance and the regional Head of Compliance.
We are seeking an individual with exceptionally strong leadership, people and team management skills. This individual should have a strong background in operational processes, business process optimization and financial services, ideally in the asset management or banking industry. Experience in functions such as: employee-related compliance, marketing and distribution compliance, surveillance, monitoring and testing and management/board level reporting preferred.
Key Responsibilities:
As a senior compliance professional, you will be a member of the Enterprise Compliance management team and the APAC Compliance ExCo, responsible for:
- Providing advice directly (and through existing teams) to all business units across India dealing with a potentially wide range of issues including portfolio management, licensing, employee personal activities, conflicts, marketing and distribution and client business.
- Overseeing the sound execution of processes and management of controls pertaining to risks associated with employee activities.
- Overseeing programs to maintain compliance with local and regional laws and regulations, as well as BlackRock s policies and procedures and global best practice standards.
- Working closely with senior offshore Compliance colleagues to ensure consistency of advice and practices across APAC.
- Participating in global and/or regional compliance initiatives to ensure consistency, implement new requirements and ensure best practices.
- Monitoring local and regional regulatory developments and evaluating their impact on the business and related Compliance programs
- Consulting with regional and global compliance and business colleagues, as necessary.
- Evaluating, recommending and implementing optimal operating model to appropriately manage Compliance programs, specifically related to Employee Compliance, at local and global levels.
Qualifications:
- A minimum of 15 years relevant working experience in legal and compliance or operations at a financial services firm.
- Previous experience as a management consultant strongly preferred.
- Background in employee conduct, conflicts management, marketing and distribution compliance, licensing compliance and other enterprise compliance programs preferred.
- Proficiency in both written and spoken English.
- Strong attention to detail.
- Ability to motivate, coach and develop teams of all levels of professional experience.
- Ability to work across regions and functions to deliver practical, risk-minded advice and innovative solutions that reflect business priorities.
- Ability to influence and demonstrate impact in engagement with key internal and external business stakeholders of all corporate titles.
- Experience presenting to management committee and board level audiences
- Strong written/oral communication, organizational, and people skills.
- University degree preferred.
Job Classification
Industry: Financial ServicesFunctional Area / Department: Risk Management & ComplianceRole Category: Risk Management & Compliance - OtherRole: Risk Management & Compliance - OtherEmployement Type: Full timeContact Details:
Company: PrimetraceLocation(s): Noida, Gurugram+ View Contact
Keyskills: Team management Manager Quality Assurance Consulting Healthcare Asset management Licensing Portfolio management Operations Financial services Monitoring
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