- The Chief Compliance Officer (CCO) provides independent oversight and control over compliance and regulatory risks. CCO is granted the necessary independence, authority and resources to executive its duties without undue influence or obstacles, and the appropriate access to management to raise issues, as a 2nd line of defense - control function.. CCO's mandate is to monitor business activities on all levels, based on regular and ad-hoc Compliance risk assessments, so to minimize potential risks to Credit Suisse's reputation and the violation of laws or regulations. - The Head of Compliance - Pune and Powai is responsible for management and handles both local Coverage Compliance teams and all CCO Outsourced functions within Pune and Powai locations. - The role of Compliance Team lead - Pune and Powai, is a direct report to Head of Pune and Powai with significant leadership of driving the buildout and management of global compliance functions to be carried out of India as part of overall compliance transformation program. - The role would focus on the executing the significant and aggressive agenda building out the capability across various compliance functions in India and providing the leadership support for hiring the talent, knowledge transition, embedding the operating model and ensuring quality assurance. - As the buildout of India team is accomplished this role will evolve into delivery management for supervising the work and activity of the some specific deployed functions across Powai, Pune and across other India locations. This would be a key leadership role providing organizational support and enhancing the scale, value and brand of compliance function through innovative ideas focusing on operational effectiveness, building strong team culture, employee engagement and strong control mindset. Key Responsibilities include :&nbsp; - You will support Pune and Powai head in setting the right tone from the top on matters and helping them provide the necessary leadership on Compliance risk. - You will provide the leadership for workforce strategy execution, by creating strategy and driving implementation of building required capabilities, as well as facilitating smooth transition of activities to India. - You will provide both SME and leadership support to ramping up teams in India and work on embedding the appropriate operating model for creating a sustainable set up. - You would put in place measures and build the right environment for staff within the function to develop their skills and capabilities, particularly so that they are up to date with developments in Compliance laws, rules and standards. - You will focus on setting a strong quality assurance framework for activities to be migrated to India with clearly defined metrics and service level agreements. - You will oversee and manage various aspects of Pune build out plan, along with rest of compliance Pune and Powai management team - Hiring and resourcing strategy leveraging internal and external talent and permanent and contingent workforce - Training and onboarding plan and execution - Definition of India team activities, delivery metrics, SLAs - Creating leadership structure and organization pyramid - Operating model definition and embedding - Quality assurance framework for ensuring high quality delivery - Employee skill development and career planning - Operational support for day to day execution - infrastructure, IT, financials etc - Management support, reporting and governance - You will conduct regular reviews of the effectiveness and efficiency of the functions making recommendations for improvements - Participate in the various decision-making forums of the bank to offer compliance inputs and reporting issues requiring attention to safeguard the interest and reputation of the business. Additionally, managing the team and its delivery for one or more of the deployed functions supporting global locations such as Singapore, HK, London and NY. - FCC (Compliance Operations - Client ID) - supporting New client approvals, Amendments and client reviews: - FCC (Surveillance &amp; AML) - supporting Negative News Screening, Transaction Monitoring &amp; Global searches: - FCC (Controls Testing &amp; Assurance) - supporting FCC testing &amp; quality assurance program: - Employee Compliance (Personal Account Trading) - supporting PA Reconciliations, Outside business Interests &amp; PA Surveillance: - Regulatory Shareholder Reporting - supporting preparation of regulatory reports &amp; performing User Acceptance testing: - Policy &amp; Training - supporting APAC in Policy &amp; training processes. - Dodd Frank &amp; Volcker Rule - supporting EMEA &amp; Americas in preparation of reports &amp; Compliance Planning. Qualifications: You offer excellent track record of delivery and demonstrate the following attributes: - Strong compliance or risk background and knowledge of compliance structures, systems and strategy in Investment Banking and/or Wealth Management markets. - Team management experience, with a consistent track record in leading high level compliance/risk professionals in a multi-jurisdictional environment. You will have people management experience and confirmed leadership skill, energy, passion and drive. - Proven experience working in global banking environment with track record of building and managing high performing delivery teams in India. - A comprehensive understanding of the operational, regulatory and reputational compliance risks. - Strong understanding of Quality Assurance framework and ability to produce high quality output through combination of supervisory, subject matter and controls. - Excellent analytical ability; you will think strategically and be a leader with vision in the further development of the team. - High degree of work ethics and ability to influence, inspire and lead the team through pressure and aggressive timelines. - Strong executive presence, communication and interpersonal skills. - Change management and transition management experience would be a plus. - Experience of driving operational and organization efficiencies; prior experience as a Business Manager or COO is likely to be a plus.

Pune

Compliance Director/Chief Compliance Officer - Investment Banking  

Compliance Director/Chief Compliance Officer - Investment Banking   ,Job Description for Compliance Director/Chief Compliance Officer - Investment Banking   in Mancer Consulting Services in  Pune for (15-22) years of experience. Apply Now!

Job Description for Compliance Director/Chief Compliance Officer - Investment Banking   in Mancer Consulting Services in  Pune for (15-22) years of experience. Apply Now!