Compliance - Disclosures - Analyst - Senior Analyst

☞ Nomura Services

View: 103

Update day: 06-05-2024

Location: Mumbai Maharashtra

Category: Other

Industry: Investment Banking Venture Capital Private Equity

Position: Other

Job type: Full Time, Permanent

Experience: 2 - 6 years

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Job content

Roles and Responsibilities:

  • Responsible for monitoring, investigating and reporting disclosures triggers for Substantial Share Holding, Takeover & Mergers and Short Positions at Corporation level and Legal Entity Level
  • Ensure efficient identification of global regulatory updates and implement them for daily monitoring and disclosures.
  • Responsible for DOI calculation procedures, methodology and development of static data and feed structures according to respective jurisdiction disclosure requirement.
  • Close communication with regional stakeholders and organizing scheduled weekly/monthly calls with structured agenda and minutes
  • Ensure correct interpretation of Disclosures regulations in collaboration with region
  • Responsible for investigating and enquiring for mismatch of trade quantity with source data.
  • Identification, mitigation, escalation and reporting of potential/current risk. Provide assistance to IT development team in developing IT tools and applications as SME from the process.
  • Prepare business requirement documents, process map and assist IT team in developing IT infrastructure. Also responsible for conducting UATs for IT projects from Compliance operations.
  • Ensure appropriate disclosures are updated in the reports, update procedures relating to the Disclosures function
  • Ability to work in Team, interact with all levels of stakeholders in regional Disclosures teams
  • Good Interpersonal skills; high ethical standard; collaborative; detail Oriented, willing to learn and adapt
  • Identifying regulatory changes through different alerting systems, Regulators websites and stock exchange announcements and advises received from Legal dept. and applying them into monitoring and disclosure procedures.


Desired Candidate Profile

  • Excellent knowledge and understanding of capital markets participants, products and roles
  • 1-3 years of Compliance experience in financial services industry
  • Detail oriented, with strong follow-up and analytical approach to problem solving
  • Ability to handle confidential information and matters with discretion
  • Self-starter and ability to multi-task under pressure and meet various deadlines
  • Understanding about compliance Monitoring & disclosure functions
  • Ability to understand financial regulations and business function to process and procedures
  • Strong analytical and project management skills. Ability to challenge existing processes with a view to improvements and good knowledge in MS office (Excel, word and PPT)


Position Specifications:

Corporate Title Analyst

Functional Title Senior Analyst

Experience 2 to 5 years

Qualification Graduate / Post Graduate


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Deadline: 20-06-2024

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