Assistant Vice President - Personal Account Dealing / Employee Conduct
On-site · Hyderabad, Telangana, India
Job Summary
Lead the Personal Account Dealing team within Compliance, directing end-to-end reviews, surveillance, and compliance monitoring across all lines of business and regions. Develop and execute the annual Personal Account Dealing testing and surveillance plan, identify control gaps, escalate issues, and drive timely resolution. Analyze data from multiple sources to identify patterns and strengthen controls, collaborate with Legal, Audit, and Compliance to align on priorities, and support regulatory and audit reviews. Drive process improvements and automation initiatives to simplify and strengthen Personal Account Dealing activities. Provide regular updates to senior management, foster an inclusive culture, and mentor a team of professionals to achieve high-quality outcomes.
Required Qualifications
- Bachelor’s degree or higher
- 8–10 years’ experience in Compliance, Risk, Operations, Audit, or related areas within financial services
- At least 2 years in a people management or team leadership role
- Strong knowledge of financial markets, products, and compliance requirements related to employee personal trading and operational risk
- Ability to prioritize work, meet deadlines, and perform under pressure
- Excellent analytical, problem-solving, and decision-making skills
- Strong relationship-building and communication skills
- Ability to perform end-to-end reviews of processes, assess risks, and identify gaps in the operating environment
- Strong organizational skills and ability to manage multiple priorities
- Interest and ability to innovate and drive automation/digital transformation
- Experience with process automation, robotics, or digital transformation projects (preferred)
- Experience supporting regulatory examinations, internal audits, or remediation initiatives (preferred)
- Experience in managing geographically dispersed teams or cross-regional programs (preferred)
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