739 Technology Compliance jobs in India

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Summary:

The Sr Lead, Technology Regulatory Compliance is responsible for supporting the day-to-day operations of the APAC Technology Regulatory Compliance team and working with risk and control teams in other global sites to establish and maintain a highly effective IT control environment and IT compliance posture. You will report to the Senior Manager of Technology Regulatory Compliance and be part of a dedicated and outstanding team that focuses on promoting control / compliance awareness and appropriately manage compliance risks within the global information technology organization.

Responsibilities:

Responsible to ensure compliance with Technology related regulatory / statutory requirements in the APAC region.

Engage with all 3 LODs and get onboarded on various risk events – risk treatment | risk metrics | major incidents impacting APAC region.

Coordinate both internal and external audit engagements, facilitate evidence gathering requirements, ongoing vetting of issues identified by Internal Audit with Control Owners including appropriate action plans and remediation / milestone dates

Interpret and assess the impact of new and evolving technology regulations in the APAC region.

Serve as a key liaison between internal / external auditors and technology stakeholders.

Advise on how to apply and interpret standards and controls, considering threats, risks, trends across the organization, and compensating controls

Support risk assessment activities serving as a subject matter expert on understanding the risk and providing support in elevating the risk treatment for approval.

Support the Issue Management process – Audit | Regulatory | Self-identified. Review the management action plan proposed by the accountable/responsible technology owner. Challenge and provide advice on audit remediation plans. Facilitate discussion of Technology accountable audit issues at the Issue Remediation Council.

Responsible to Analyse and derive a Legal Entity view of the outcome of technology control assurance program, including control inventory, risk and control (PRC) framework, and align with regulatory requirements in the APAC region.

Leverage automation and analytics to build state of the art compliance environment and continuous control monitoring platform.

Prepare the governance packs, compliance reports/dashboards and metrics for senior leadership in the APAC region.

Setting frameworks and manage technology regulatory compliance operations to ensure adequate reporting and timely response to regulatory exams in APAC regions, including Australia, Singapore, India, China and other regions.

Work with other leaders within Norther Trust’s technology management and three lines of defenses to assist in timely addressing control gaps, identifying potential opportunities for improvement, and advising on control designs for large complex programs (e.g., cloud, API, third-party vendor oversight, data governance).

Influence behaviors to reduce risk and foster a strong technology risk management culture throughout the enterprise.

Knowledge & Skills:

In-depth understanding and experiences of information security, IT regulatory/ statutory compliance, IT audit and/or IT risk management principles.

In-depth understanding of IT risk assessments and control testing. Experiences of GRC systems (e.g., ServiceNow, Fusion etc.) preferred

Experience in automation and data analytics preferred.

Strong collaboration and stakeholder management skills.

Innovative thinking and leadership with an ability to lead and motivate cross-functional, interdisciplinary teams.

Highly flexible and adaptable to change, technology forward thinking.

Comfortable operating in a dynamic and complex regulatory landscape.

Woking knowledge of tools such as Confluence, Power BI, MS Office suite.

Experience Required:

A bachelor’s degree in engineering, Information Technology, Management Information Systems, Computer Science or a related discipline.

At least 12+years of technology risk management, control functions, audit services experience, or similar experience with transferable skills. Financial Services industry experience is a plus.

Certification in IT Security viz CEH / CISA / CISSP / CISM preferred.

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Summary:

The Sr Lead, Technology Regulatory Compliance is responsible for supporting the day-to-day operations of the APAC Technology Regulatory Compliance team and working with risk and control teams in other global sites to establish and maintain a highly effective IT control environment and IT compliance posture. You will report to the Senior Manager of Technology Regulatory Compliance and be part of a dedicated and outstanding team that focuses on promoting control / compliance awareness and appropriately manage compliance risks within the global information technology organization.

Responsibilities:

Responsible to ensure compliance with Technology related regulatory / statutory requirements in the APAC region.

Engage with all 3 LODs and get onboarded on various risk events – risk treatment | risk metrics | major incidents impacting APAC region.

Coordinate both internal and external audit engagements, facilitate evidence gathering requirements, ongoing vetting of issues identified by Internal Audit with Control Owners including appropriate action plans and remediation / milestone dates

Interpret and assess the impact of new and evolving technology regulations in the APAC region.

Serve as a key liaison between internal / external auditors and technology stakeholders.

Advise on how to apply and interpret standards and controls, considering threats, risks, trends across the organization, and compensating controls

Support risk assessment activities serving as a subject matter expert on understanding the risk and providing support in elevating the risk treatment for approval.

Support the Issue Management process – Audit | Regulatory | Self-identified. Review the management action plan proposed by the accountable/responsible technology owner. Challenge and provide advice on audit remediation plans. Facilitate discussion of Technology accountable audit issues at the Issue Remediation Council.

Responsible to Analyse and derive a Legal Entity view of the outcome of technology control assurance program, including control inventory, risk and control (PRC) framework, and align with regulatory requirements in the APAC region.

Leverage automation and analytics to build state of the art compliance environment and continuous control monitoring platform.

Prepare the governance packs, compliance reports/dashboards and metrics for senior leadership in the APAC region.

Setting frameworks and manage technology regulatory compliance operations to ensure adequate reporting and timely response to regulatory exams in APAC regions, including Australia, Singapore, India, China and other regions.

Work with other leaders within Norther Trust’s technology management and three lines of defenses to assist in timely addressing control gaps, identifying potential opportunities for improvement, and advising on control designs for large complex programs (e.g., cloud, API, third-party vendor oversight, data governance).

Influence behaviors to reduce risk and foster a strong technology risk management culture throughout the enterprise.

Knowledge & Skills:

In-depth understanding and experiences of information security, IT regulatory/ statutory compliance, IT audit and/or IT risk management principles.

In-depth understanding of IT risk assessments and control testing. Experiences of GRC systems (e.g., ServiceNow, Fusion etc.) preferred

Experience in automation and data analytics preferred.

Strong collaboration and stakeholder management skills.

Innovative thinking and leadership with an ability to lead and motivate cross-functional, interdisciplinary teams.

Highly flexible and adaptable to change, technology forward thinking.

Comfortable operating in a dynamic and complex regulatory landscape.

Woking knowledge of tools such as Confluence, Power BI, MS Office suite.

Experience Required:

A bachelor’s degree in engineering, Information Technology, Management Information Systems, Computer Science or a related discipline.

At least 12+years of technology risk management, control functions, audit services experience, or similar experience with transferable skills. Financial Services industry experience is a plus.

Certification in IT Security viz CEH / CISA / CISSP / CISM preferred.

Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.

Northern Trust is proud to provide innovative financial services and guidance to the world’s most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity. With more than 130 years of financial experience and over 22,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Summary:

The Sr Lead, Technology Regulatory Compliance is responsible for supporting the day-to-day operations of the APAC Technology Regulatory Compliance team and working with risk and control teams in other global sites to establish and maintain a highly effective IT control environment and IT compliance posture. You will report to the Senior Manager of Technology Regulatory Compliance and be part of a dedicated and outstanding team that focuses on promoting control / compliance awareness and appropriately manage compliance risks within the global information technology organization.

Responsibilities:

Responsible to ensure compliance with Technology related regulatory / statutory requirements in the APAC region.

Engage with all 3 LODs and get onboarded on various risk events – risk treatment | risk metrics | major incidents impacting APAC region.

Coordinate both internal and external audit engagements, facilitate evidence gathering requirements, ongoing vetting of issues identified by Internal Audit with Control Owners including appropriate action plans and remediation / milestone dates

Interpret and assess the impact of new and evolving technology regulations in the APAC region.

Serve as a key liaison between internal / external auditors and technology stakeholders.

Advise on how to apply and interpret standards and controls, considering threats, risks, trends across the organization, and compensating controls

Support risk assessment activities serving as a subject matter expert on understanding the risk and providing support in elevating the risk treatment for approval.

Support the Issue Management process – Audit | Regulatory | Self-identified. Review the management action plan proposed by the accountable/responsible technology owner. Challenge and provide advice on audit remediation plans. Facilitate discussion of Technology accountable audit issues at the Issue Remediation Council.

Responsible to Analyse and derive a Legal Entity view of the outcome of technology control assurance program, including control inventory, risk and control (PRC) framework, and align with regulatory requirements in the APAC region.

Leverage automation and analytics to build state of the art compliance environment and continuous control monitoring platform.

Prepare the governance packs, compliance reports/dashboards and metrics for senior leadership in the APAC region.

Setting frameworks and manage technology regulatory compliance operations to ensure adequate reporting and timely response to regulatory exams in APAC regions, including Australia, Singapore, India, China and other regions.

Work with other leaders within Norther Trust’s technology management and three lines of defenses to assist in timely addressing control gaps, identifying potential opportunities for improvement, and advising on control designs for large complex programs (e.g., cloud, API, third-party vendor oversight, data governance).

Influence behaviors to reduce risk and foster a strong technology risk management culture throughout the enterprise.

Knowledge & Skills:

In-depth understanding and experiences of information security, IT regulatory/ statutory compliance, IT audit and/or IT risk management principles.

In-depth understanding of IT risk assessments and control testing. Experiences of GRC systems (e.g., ServiceNow, Fusion etc.) preferred

Experience in automation and data analytics preferred.

Strong collaboration and stakeholder management skills.

Innovative thinking and leadership with an ability to lead and motivate cross-functional, interdisciplinary teams.

Highly flexible and adaptable to change, technology forward thinking.

Comfortable operating in a dynamic and complex regulatory landscape.

Woking knowledge of tools such as Confluence, Power BI, MS Office suite.

Experience Required:

A bachelor’s degree in engineering, Information Technology, Management Information Systems, Computer Science or a related discipline.

At least 12+years of technology risk management, control functions, audit services experience, or similar experience with transferable skills. Financial Services industry experience is a plus.

Certification in IT Security viz CEH / CISA / CISSP / CISM preferred.

Your role

We are the members of a technology-focused team that works across the globe, delivering critical regulatory solutions and services to the Nasdaq markets. You will be responsible for crucial project delivery activities and internal business, legal and development team interactions. We will be responsible for prioritising potential issues across these groups and achieving consensus on a solution.

In this role, you will have an equal opportunity to work with strong experienced teams delivering critical technology solutions. You will work with and learn from domain experts, and have the opportunity to take on more responsibility within the Regulatory Technology team. Besides working closely with your colleagues in Mumbai, you will also work closely with Nasdaq teams in other countries.

We expect you to have:

Design, develop, fix and implement application software for Regulatory Technology projects.

Parse rulebooks language and design models that will be used as the basis for the design of test scripts.

Participate in business and technical design reviews of the trading engines, functional specification reviews, develop level of effort estimates for rulebook compliance testing.

Proactively identify and resolve potential problems/issues including input of rulebook language and functional behavior of trading engines.

Conduct testing, build models of the rules, review results, identify issues, and coordinate resolution between business, legal, and development groups.

Participate in surveillance pattern design reviews, build models and technical design documents, and conduct data analysis that will drive decisions on efficient parameter usage.

We expect you to have:

It would be great if you:

Does it sound like you? What happens now? 

As the selection process is ongoing, please submit your application in English as soon as possible. We will get back to you in 2-3 weeks.

Come as you are

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information or any other status protected by applicable law.

Nasdaq is a leading global provider of trading, clearing, exchange technology, listing, information, and public company services. As the creator of the world's first electronic stock market, its technology powers more than 100 marketplaces in 50 countries. Nasdaq is home to over 4,000 total listings with a market value of approximately $12 trillion.

To learn more, about our business visit business.nasdaq.com. Check out more about our Life at Nasdaq.

Come as You Are

Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.

Job description

JD RMS EXECUTIVE

 Roles and responsibilities

 :
· Cross checking BOD for All segments before Market Start.
· Making Activation and Deactivation of Trading Terminal and Investor client. 

· Ability to resolve queries on a day to day basis.
·

 Keeping Monitoring on Additional Surveillance Margin (ASM) and reporting to HOD. 

· Blocking GSM and Illiquid scrip on Time to Time in the Trading system.
·

 RMS Blocking for Debit, RMS Blocking for Far month Contract, RMS Blocking for
Illiquid scrip. 

· Keeping track of MTM Alert violation, MTM net position & Square off the open position
once MTM Loss get triggered.

 · Responsible for squaring off all the intraday position through Timer Square off for all
segments.

 · Supervision of Limit assigned to the clients (Base Limit and Intraday limits). 

· Coordination with different teams. 

· Surveillance of Script Wise & Client wise Position, Simulated Trade, Script concentration
etc.

 · Track on Tender period contract in all Segments, Whole process of Straggled Delivery
Mechanism.

 · Successfully Implementation Exchange & Depository Related Compliances.

 · Enhance Supervisor Reporting, Client fund, Collateral, Security Balance (Weekly's).

 · Daily Margin Reporting for all Segments.

 · Quarterly Settlement of A/Cs & Dormant & Inactive Process & CTCL Empanelment.

Roles and Responsibilities  

Tracking Market movement and Risk exposures of clients- ODIN /OMNSYS
Monitoring clients positions, limits and triggering
Exchange Margin preparing and reporting
Take follow up of Peak & MTM Margin
Knowledge products like MTF, Exchange settlement

Desired Candidate Profile  

Perks and Benefits  

Job Description Summary

Job Description

Responsibilities include, but are not limited to:

• Oversee and lead all activities of assigned teams /projects to meet customer needs.
• Work according to appropriate standards for quality, ethics, health, safety, environment, protection and information security.
• Establishes and maintains GMP management system and monitors compliance with internal and external regulations. Ensures compliance to cGMP.
• Oversees all GMP activities within the Unit, Advises and supports the team heads and staff regarding GMP issues, Monitors quality exception management and drives timely completion,
• Supports training programs and implementation of SOPs, GMP, GLP, QM, HSE, ISRM and Novartis Guidelines.
• Prepares, performs, and supports GMP audits as appropriate, including organizing and tracking any follow-up action items.
• Lead initiatives to ensure continuous improvement
• Perform complex tasks without having established procedures.
• Oversee and write protocols, scientific reports, lab procedures or process related SOPs. Write scientific documents intended for external partners or for generation of registration documents.
• Communicate, address and solve problems within own and broader area of responsibility. Communicate effectively across organizational interfaces.
• Lead the transfer of know-how to other departments or external contractors, including troubleshooting and on-site training.
• Lead the optimization of project related scientific /technical activities or processes, co-ordinate local team(s) and guide development and implementation of new technologies.
• Provide scientific and technical guidance; actively foster knowledge exchange.
• Develop, mentor and coach other scientific associates, present scientific /technical results internally and contribute to publications, presentations and patents.
• Meet quality, cost and timelines in all assigned projects.

 WHAT YOU’LL BRING TO THE ROLE:

• M. Pharm/MSc with 10+ years of experience or PhD in Science (e.g. analytical/Pharmacy/Chemistry or equivalent) with 5+ years of experience.
• Recognized expertise in a GxP area with scientific as well as strategic background.
• Understanding of drug development processes and proficiency in quality principles driving drug development such as GMP and applicable regulations and policies.
• Clear understanding of current and anticipated regulatory and quality expectations.
• Broad scientific as well as strategic background Advanced coaching skills.
• Track record of innovation, creativity, problem solving and productivity.
• Successful work experience in inter-disciplinary and cross-cultural teams is preferred.
• Successful work experience in a matrix organization is preferred.
• Good oral, written (good experience in writing of scientific reports and filing documentation) and presentation skills are essential.

Skills Desired