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COM-Compliance Professional
ConfidentialMumbai28 days ago
Job description2 - 5 years of demonstrated experience in a Compliance and / or Control and / or Line of Defence (LoD) function in the financial services industry Excellent communication and influencing skills, with a good understanding of Compliance and Regulatory requirements Demonstrated experience with regards to design / implementation / participation in Risk Assessment related initiatives Good understanding of the Investment Banking business and the Financial Services regulatory environment Proven project management and people management experience would be an added advantage Knowledge and understanding of Data Analytics tools and technologies Strong interpersonal and administrative skills, mature judgement, and high ethical standards Pro-active, with a mind set to drive efficiency Ability to identify issues and knowing when to escalate Self-starter, with an ability to multi-task Critical thinking, Conflict Management
Role & Responsibilities :
- Implementing the Core Compliance & Conduct Operating Model
- Engaging with all Powai functions, providing advisory support, and participating in / driving governance forums from a Risk Management perspective
- Designing, updating and implementing Compliance and Conduct relevant policies and procedures
- Designing and implementing the annual Training & Awareness plan, covering Compliance & Conduct relevant topics
- Designing and implementing Compliance and Conduct Risk Assessment frameworks, leading to the identification of focus areas from a Compliance and Conduct perspective
- Monitoring & Testing of Compliance and Conduct relevant risks
- Managing issues, and ensuring action plans are implemented effectively from a risk mitigation perspective
- Conducting Surveillance related activities, in line with Compliance requirements
- Driving initiatives such as the Annual Affirmation program
- Performing data analysis on Core Compliance relevant metrics, leading to effective risk mitigation strategies
- Ongoing interaction and partnership with senior stakeholders and counterparts, locally and in the region
Mind Set :
Mandatory Desired Domain / Technical
Interpersonal
Skills Required
Risk Assessment, Data Analysis, Compliance Management, Project Management, Regulatory Requirements, Risk Mitigation
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