Associate, Risk, Conduct & Restructuring

  • Company:
    Royal Bank of Scotland
  • Location:
  • Salary:
    negotiable / month
  • Job type:
  • Posted:
    2 weeks ago
  • Category:

Skill: closing , reporting , dealing , business management , strong analytical skills , reconciliation , filing; Exp: 3-5 years; Associate, Risk, Conduct & Restructuring Mumbai, Maharashtra, India Contract type Full-Time Job ref 76038 Date listed 18/05/2018 Closing date 01/06/2018 The Business The Role The role will operate and enforce Bank wide procedures to prevent and detect the misuse of Inside Information. Will identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the firms Information Barriers and maintain the Marketing, Watch and Global Restricted Lists; assess materiality of transactions and determine downstream Monitoring & Surveillance. He/she will manage the Wall Crossing process, advise on appropriate policies and procedures to identify and manage conflicts, advise on the creation, maintenance and evolution of Bank wide Confidentiality Registers What the Business Does The Role is in Risk, Conduct & Restructuring and will report to Vice President. Your responsibilities As Associate your key responsibilities will be Complete all BAU activity for Personal Account Dealing, Managing Personal Conflicts, Gifts and Entertainment accurately and in line with any agreed SLAs and actively manage own workflow to ensure tasks are completed within expected timeframes Managing the PAD reconciliation process, matching trade confirmations with approved requests, checking periodic statements for any irregularities and managing the associated filing and record retention process Managing the Broker Letter process for new joiners and leavers Managing and Escalating any suspicions or irregularities of any PAD trading to senior Control Room Management and providing assistance to the wider C&RA team in respect of investigations and data requests, issuing warning/breach notices and maintaining the violation log Facilitating the Information barrier Crossing process Advise colleagues and key stakeholders in the business, including the provision of training where required on Conduct Risk in relation to the following RCR policies Review of Customer Trigger Transactions and provide Customer facing franchises with conflict clearance for their Customer Trigger transactions to proceed; including where required escalation to senior business management Advise on the creation, maintenance and evolution of Bank wide Confidentiality Registers Collating the necessary data required for the reporting of Control Room MI to senior Control Room management User Acceptance Testing for Global Control Room systems Drive the GCR road map and the Risk Big 5 Skills you Need 3-5 years of Control Room experience Experience of working in a Control Room or other similar Compliance functions Strong analytical skills and understanding of bank structure with basic understanding of franchise/functional structures Prior experience interfacing with Technology teams Why RBS? RBS doesnt just provide you with an exciting work and a generous pay package. We take pride in ensuring your personal and professional developments are first and foremost. You will have access to a range of development and learning programs, services, and support designed to help you manage and balance your work/life priorities. Whether its retirement planning, supporting a charity close to your heart or taking care of your well-being, RBS makes sure you are taken care of. For more information on our benefits, please visit our website. At RBS, our purpose is to serve customers well. We serve around 24 million customers across the globe, and our aim is to consistently meet their needs wherever they find us. Our ambition is to become the UKs number-one bank for customer trust, service, and advocacy by 2020. Our global workforce is integral to helping us achieve this goal. With colleagues across 5 main states, and connected across-the-globe by common values and a unified ambition, RBS India delivers vital bank functions that help us offer truly round-the-clock support to our UK customers, and 24/7 banking to our international customers. RBS welcomes applications from all sections of the community.

Audit & Risk


Experience: 3-5

Function: Accounting / Tax / Company Secretary / Audit