AVP/Vice President - Compliance - BFS

AVP/Vice President - Compliance

Business Coverage: CB&S, GTB, AWM, and Finance

Compliance advisory function with respect to:

1. Organisation Compliance policies

- Personal account dealing/OBI/Gifts and Entertainment/Conduct

- Access controls

- Operating model

- Identification of Key Risks

- Drafting reports and escalate breaches and exceptions

2. Providing compliance approval for (activity would involve- Data collection, Preliminary analysis, Risk Identification, Coordination with Onshore Business and compliance)

- Addition of or changes in new activities

- Onshore travel

- Change of location

3. Monitoring and testing with respect to (activity would involve- Rolling out a monitoring program, Liasioning with business for data collection, Testing compliance with approvals)

- Client interactions

- Ad-hoc reviews

- Periodic Monitoring

4. Management of Regulatory/ MCT inspections

- Element

5. Face to Face compliance training

6. Compliance projects

- Automation

- Documentation

- Process reengineering

Graduation with 10-12 years of experience (CA/ CS preferable)

Internal audit skills and experience in Financial off shoring

Strong MS excel and PowerPoint skills