Job Description

Job Description

Role & Responsibilities:

Manage the Compliance Legal Services Team across Pune and Bangalore with team size of approx. 50 resources ( UM & Agents) and reporting to the AVP with virtual oversight over the other Centre


  • Capable of independently leading & managing the day-to-day operations of the above-mentioned LOB

  • Process management

  • People management

  • Client relationship

  • Internal stakeholderrelationshipmanagement

  • Audits & Compliance

  • Must have knowledge on US Financial Market and their associated Regulator Bodies.

  • Proactive to understand the process, doing RCA & putting mitigation plans in place for issues

  • Play an integral role in continuous improvement of reporting processes

  • Developing relationships with the business and ensuring your span adds maximum value

  • Manage ad hoc project work of Client

  • Point of contact for the mentioned LOBs for the Clients & Internal stakeholders
    • Manage team of diversity in terms of multiple locations, languages, culture etc.Provide leadership & guidance in building the team (UM & Associates)Flexible to work US shift timing Qualities Required:Self-driven, results-oriented with a positive outlook, and a clear focus on high quality and business profitA natural forward planner who critically assesses own performanceMature, credible, and comfortable in dealing with senior big company executives Reliable, tolerant, and determined. Empathic communicator, able to see things from the other person's point of viewWell-presented and businesslike. Sufficiently mobile and flexible.Keen for new experience, responsibility and accountabilityAble to get on with others and be a team-player

    Skills required:


  • Hands on experience & nuances of operations related to US Brokerage industry / Capital Market concepts /

  • Experience working in compliance department of financial brokerage firm

  • Excellent people management skills, Issue resolution & leading by example

  • Excellent client facing capabilities in terms of managing escalations & relationship

  • Excellent communication (Written & Verbal English)

  • Networking capability

  • Analytical (Tactical & Strategic) & forward-thinking mindset

  • Hands on experience resource management (Billable & Buffer headcount)

  • Flexible to travel & work between locations for business reasons

  • Prior experience in running Process improvement, Six Sigma Projects & Business value adds to the client

    • Selection Process:


  • Initial screening by HR

  • Personal Interview by panelists

  • Final Round with PDH

    • Apply for this Position

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