AVP - Compliance - BFSI

Roles and responsibilities :

This role would have oversight responsibilities over the Compliance Offshoring Teams within Compliance division, and will report into the VP Compliance (offshoring).

Adheres to Global compliance policies and guidelines and customise the requirements to India shared services, working closely with the business units

Stake holders understand and implement the compliance approach as defined under global and local regulatory requirements

Taking ownership of relationships as required and maintain ongoing dialogue to embed a strong compliance culture through the organisation

Helping establish a set of compliance rules as applicable to various business areas to help establish compliance standards

Provide ongoing compliance trainings and awareness programs, aimed towards fostering a strong compliance culture

Working closely with other control functions such as legal, risk, audit, HR etc

Providing guidance and leadership to Compliance team members

Lead and guide the team managers and their team members on smooth and effective execution of BAU tasks

Maintain and manage stakeholder relationship & expectations for the department and address service level issues

Ensure appropriate and timely reporting to senior management

Engage with stakeholders to identify and manage migration opportunities for the division

Mentor staff for meeting departmental & BAU objectives and conduct performance appraisals

Handle hiring and resourcing needs for the department

Reporting and escalating issues as appropriate.

Skills:

The person should have an exposure towards multiple functions in Compliance as he would be expected to head the following teams:

- Trade Surveillance

- Control Room

- AML

- Core Compliance

- Electronic Communication Surveillance

Shift - General Shift