Reference 2600027V

Responsibilities

Fair knowledge of Compliance risks in the global banking environment.

This may include the risks related to:

Required

Experience in below topics including but not limited to:

Market Integrity (Market Abuse, Market Transparency),
Client protection
Laws and regulations related to Anti-Bribery and Corruption
Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc.
Data protection/archiving laws and thematics
Compliance incidents management
MiFID regulations
Personal Account Dealing
European Market Infrastructure Regulation (EMIR)
Knowledge of equities, derivatives and bond markets

Added advantage

Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)
KYC and client due diligence activities

Profile Required

'1) Support the manager of the Compliance Control monitoring team to identify key risk areas

Identify key business changes through stakeholder connects and assess key risks for the perimeter concerned as directed by the CPLE CTL Manager
Regular of knowledge on internal incidents,



external enforcement and regulatory developments
Participate in assessment of existing controls as per the defined control plan and the direction of the CPLE CTL management
ensure a positive 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 and design a cartography to highlight issues to fully cover the risk at stake
ensure identified gaps are debriefed to relevant stake holders, corrective action plans agreed and contribute to report writing
identify weaknesses, timely escalate any issues and define corrective action plan
record keeping of all working papers
show autonomy in delivery of assigned duties including planning of own work, proactiveness and timely escalation
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📌 Lead - Control Assurance (Bengaluru)
🏢 Societe Generale Global Solution Centre
📍 Bengaluru