The person should be proficient compliance professional who:
- Conducts training on compliance areas for subordinates and guide them with subject matter requirements on live projects and otherwise.
- Co-operates with team members and acts as a team player.
- Supervises junior team members as a manager (goal centric career management and go to person for all issues)
- Escalates project specific issues and other relevant issues, as appropriate, to the relevant stakeholders.
- Applies himself to understanding the underlying issues of a project.
- Take ownership and provide feedback to juniors and assist in resolving conflict
- Achieve on time delivery (OTD) on all client deliverables or anticipate and escalate possible delay in advance.
- Thorough and meticulous with great attention to details.
- Taking ownership of processes and controls of the team, driving the development of methods to improve processes and/or controls to ensure that these are efficient, effective and relevant
- Understands overall client requirements to help develop project scope and drive internal discussions on resource requirements and creation of project plan
- Understands project metrics such as utilization, efficiency, gross margins etc.
- Effective communication with internal and external stakeholders
- Organized and efficient – handles particular responsibility assigned to him/her quickly and accurately.
- Reports back to his seniors on the status of assignments.
- Effective on the floor in terms of sharing learning/insights with peers/juniors/seniors.
- Consistent presence and active participation at team, department, and company meetings and participates in voluntary professional development programs.
- Accomplishes work with low to moderate supervision.
- Typically works on multiple projects at a time and acts as a project manager or direct reportee to project manager.
- Fundamental understanding of financial concepts and good hold on legal and compliance areas
- Ability to drive team’s interpretation and understanding of statutes in light of financial products and services
- Excellent analytical and logical skills
- Good project management and people management experience
- Troubleshooting and issue resolution
- Attention to details
- Proficiency in MS Office, specially MS Excel
- Working knowledge of legal databases
- Effectively communicating results/findings of work in all mediums (verbal and written)
- Ability to create standard instructions regarding legal research and any other project scope and cascade uniformly across the team for standardized outcomes
- Ability to advice and contribute towards creation of linear and efficient workflows based on project requirement
- Leverage strong communication and relation building skills in frequent interaction with both internal and external stakeholders
- Self-reliant and confident handling of project and team issues
- Generally leaning towards issue resolution rather than issue escalation
- Adaptive to team and fosters collaborative approach
- Innovative approach to the project and team management, when required
- Shows passion and desire to learn
- Diligence and ability to multi-task
- Must have an eye for details
- Must Have: Law Degree (with understanding of financial world); or MBA (with good understanding of regulatory framework)
- 3 – 5 years
- Desirable: Experience in regulatory compliance related work; prior experience/knowledge of financial industry; Experience with project management and people management
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