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 valuable 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

📌 Lead - Control Assurance (Bengaluru)
🏢 Societe Generale Global Solution Centre
📍 Bengaluru