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14/05 Mohanapriya
HR Recruiter at Live Connections

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Compliance Risk Controller - BFSI (7-18 yrs)

Bangalore Job Code: 822269

- The Compliance risk Controller will have to manage autonomously the responsibilities set out in this job description.


- He shall not make decisions which would have an impact on the delivery of the mission without referring identified to the

- Regional head of Compliance Control Monitoring and getting his approval. The Compliance risk Controller shall escalate any high risk/issue or bottleneck in the execution of the annual plan without delay to the Regional head of Compliance Control Monitoring or Regional head of CPLE/CTL.

Contribute to the build of the annual control plan

- Support the manager of the Compliance Control monitoring team to identify key risk areas in the region for all compliance risks and all Business and Support Units in the region

- Identify key business changes

- Ensure a regular knowledge of internal incidents, external enforcement and regulatory developments

- Assess existing formalized controls following the annual control plan defined

- Ensure a good knowledge of existing policies and procedures on which the control assessed is attached to Assess the design and the execution of each existing formalized controls on schedule and in accordance with CTL standards and methodology.

- Identify gaps between existing controls and expected controls (to fully cover the risk at stake) and design a cartography to highlight issues

- Identify weaknesses, timely escalate any issues and define corrective action plan

- Deliver a report to synthetize the results of the assessment for a dedicated compliance risk thematic (all reports will be reviewed and validated by the regional head of Compliance Control Monitoring)

- Record keeping of all working papers

- Engage with business lines and Compliance stakeholders:

- Provide regular update of the mission to key stakeholders in relevant regions

- Comment and escalate key risks or issues identified and manage delivery schedule

- Provide KPI, KRI and key results/key information for management reporting purpose

- Contribute to the development of CPLE/CTL GSC methodological, policies and procedures documents:

- Contribute to the writing of the CTL monitoring methodology update document detailing in the context of the creation of the function

- Contribute to the construction of the KPI to follow the activity

Other responsibilities

- Maintain a detailed and updated working knowledge of the FCA, SFC, HKMA, MAS rules and regulations

- Maintain a detailed and updated working knowledge on the existing SG policies framework, compliance incidents and any key regulatory development at group and regional level

- Perform permanent supervision controls, when required, regarding tasks of Control Monitoring team

Education

- University Graduate in Law, Bank & Finance or Economics

- Professional diploma or qualifications in Compliance and/or Audit (preferred)

- Technical knowledge

- Working knowledge of regulations relating to financial services (FCA rules, EU directives, SFC, HKMA, and MAS etc)

- Working knowledge of Capital Markets and Investment Banking operations and products

- General Competencies

- Analytical & problem solving

- Team player

- Hands on

- Report writing skills

- Listening skills

- Time management skills

- Communication, presentation skills

- Risk sensitiveness skill

Women-friendly workplace:

Maternity and Paternity Benefits

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