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24/06 Pallavi Shah
Human Resources at Credit Suisse

Views:1688 Applications:338 Rec. Actions:Recruiter Actions:47

Credit Suisse - AVP - Compliance - Governance & Control Framework (10-12 yrs)

Mumbai/Pune Job Code: 1115673

Your field of responsibility :

- Responsible for strong Governance and Control framework for employee/ business/ vendor compliance

- Assist and provide advisory across divisions on meeting Compliance standards, applicable policies and procedures/ regulations relating to relevant business activities. Proactively high-light compliance related issues / Risks and identify relevant action owners to ensure successful closure.

- Conduct periodic checks to provide risk-based oversight regarding compliance with relevant policies, procedures, systems, controls, and governance requirements affecting their business area.

- Build strong and effective relationships across the business to promote a positive image of Compliance.

- Maintain awareness of organizational structures and activities, including activities and inter-company relationships/dependencies, in order to understand business dynamics, pressures and needs

- Assist with identifying relevant training needs, planning and conducting training activities to ensure employees/ vendor resources are aware of their responsibilities regarding compliance

- Perform supervisory review of work done by team, ensuring alerts / requests are called out, analyzed, and cleared accurately in a timely manner, while ensuring documentation of rationale and accurate record keeping. Review regulatory and compliance aspects of compliance related initiatives

- Prepare/Review MIs for distribution to Pune and Powai Chief Compliance Office ('CCO') Senior Managers and Global partners. Engage partners and team members actively in regular progress updates, decisions and resolution of issues

- Lead/assist in assessment of conduct and compliance incidents in collaboration with control functions such as Operational Risk, Data Protection office, Information Security, General Counsel and HR

Your skills and experience :

We are looking for a hardworking and motivated individual with the following qualifications:

- University degree / Professional Degree with specialization in finance or banking would be an asset

- Experience of at least 10 to 12 years of operating in the compliance, operational risk or audit department preferably in investment banking/ financial sector

- Strong knowledge of compliance policy framework and procedures including but not limited to personal account trading, outside business interests, anti-bribery, gifts & entertainment, data protection and regulatory landscape

- Ability to understand processes and activities across corporate functions (Risk, Finance, operations, Technology) as well as business divisions, and the inherent risks and control requirements

- Strong control mentality with prior experience in setting/testing controls

- Working knowledge of the regulatory framework, BFSI regulations is desired.

- Familiarity with the financial services industry and offshoring services provided from India to glob-al financial institutions will be an advantage.

- Outstanding analytical and problem-solving skills

- Influencing skills in securing buy-in to recommendations and business benefits

- Experience of responding to any regulatory inquiries, hands on knowledge of SEZ/ STPI /DoT regulations would be an added advantage

- Consultative approach to business relationship management, proactively sharing "what works best" with others across the Peer Groups

- Good communication skills, with ability to articulate complex concepts simply and strong conflict management skills

- Disciplined and detailed in review approach and record retention

- Proven track record of improving/optimizing processes and implementing solutions for benefit of the organization

- Proficient in Microsoft Office skills, including Excel, Word, PowerPoint

- Experience and ability to adapt to and use new technologies and tools is desirable

- Active listening, organization, time management and relationship management skills

- Understands the value of diversity in the workplace and is dedicated to fostering an inclusive culture in all aspects of working life so that people from all backgrounds receive equal treatment, realize their full potential and can bring their full, authentic selves to work

Your new employer :

Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.

We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive ad-vantage in the global marketplace and drives our success. Our bank provides reasonable accommodations to qualified individuals with disabilities, as well as those with other needs or beliefs as may be protected under applicable local law. If you require assistance during the recruitment process, please let your recruiter know.

Women-friendly workplace:

Maternity and Paternity Benefits

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