ajay m

Support the Global R&BP team in executing personal independence and compliance activities, ensuring alignment with firm policies and global regulatory standards. Add and maintain records of public limited companies, broker-dealer accounts, financial institutions, and asset management companies (including their funds) in the Global Independence Monitoring System (GIMS), and ensure accurate linkage with DESC. Conduct regular reviews of GIMS records to identify, investigate, and resolve exceptions in a timely manner. Manage the batch request process in DESC and validate the completion of conflict checks for audit engagements across member firms globally. Input and maintain records of audit client entities and their affiliates to support independence assessments. Review and track personal holdings of employees, especially those on audit engagement teams, to verify compliance with independence policies. Manage and track the completion of cross-border consent approvals in accordance with firm procedures. Coordinate with international member firms to process and validate batches containing complex entity data, relationships, and engagement details. Provide and maintain accurate, reliable compliance data used across the firm, enabling audit teams to assess potential independence restrictions effectively.

Conduct quarterly reviews and investigations of employee trade accounts, ensuring strict adherence to global compliance policies and protocols. Review and optimize operational procedures on a quarterly basis to enhance process efficiency and performance. Support end-to-end audit processes by gathering required documentation and coordinating uploads to SharePoint, ensuring all internal and regulatory deadlines are met. Respond to global inquiries related to Personal Account Dealing (PAD), resolving complex compliance issues with speed, clarity, and accuracy. Collaborate with cross-functional teams including operations, risk, and analytics to deliver scalable compliance solutions and interactive dashboards. Participate in policy enhancement initiatives by providing feedback based on recurring compliance issues and exceptions, contributing to continuous improvement of firm-wide compliance frameworks.

Analyze bond pricing data, new issue information and profile data into work tool. Work on various types of bonds including fixed rate, floating rate, zero coupon, step up, fixed-to-floating rate bonds, index-linked coupon bonds, perpetual bonds, green bonds, callable bonds, and puttable bonds. Handle special tasks involving sink fund data, convertible securities, and impact bonds. Work on index-listed bonds and their tranches. Work on structured finance securities such as asset-backed securities (ABS) and mortgage-backed securities (MBS). Handle structured products issued by investment banking firms Proactively resolve open issues and escalations, keeping management in the loop. Identifying and reporting data quality issues, related to uniqueness, integrity, accuracy, consistency and completeness in timely fashion. Evaluate the securities processed by the team, ensuring adherence to procedural guidelines, and provide feedback. Ensure accurate maintenance of all data in the system after performing quality checks Share quality check reports and the progress of team members with management