FC Global Services India LLP (First Citizens India), a part of First Citizens BancShares, Inc., a top 20 U.S. financial institution, is a global capability center (GCC) based in Bengaluru. Our India-based teams benefit from the company's over 125-year legacy of strength and stability. First Citizens India is responsible for delivering value and managing risks for our lines of business. We are particularly proud of our strong, relationship-driven culture and our long-term approach, which are deeply ingrained in our talented workforce. This is evident across all key areas of our operations, including Technology, Enterprise Operations, Finance, Cybersecurity, Risk Management, and Credit Administration. We are seeking talented individuals to join us in our mission of providing solutions fit for our clients greatest ambitions.
Job Description
Value Preposition
Contribute to creating a culture of compliance where ethics and integrity are a critical part of what we do every day.
Job Details
Position Title: Associate Director - Compliance
Career Level: L3
Job Category: Vice President
Role Type: Hybrid
Job Location: Bangalore
About The Team
The Compliance teams are parts of the Consumer and Small Business Compliance Advisory team and the Wealth Compliance team, both within the broader compliance framework. Both teams are responsible for the 2nd line oversight, monitoring regulatory changes and emerging risks, and effectively challenging first line risk on compliance related activities. By leveraging deep regulatory knowledge and analytical rigor, the team plays a critical role in promoting a culture of compliance and supporting risk management objectives.
Impact
This position is responsible for overseeing various activities but not limited to Marketing Material review, Complaints, Obligations management and licensing for Consumer and Small Business Compliance Advisory team and the Wealth Compliance team.
Key Deliverables
Marketing Material: Provides support either to the Consumer and Small Business Marketing Compliance program or the Wealth Compliance program and will provide complex support for compliance efforts by monitoring the marketing platforms and reviewing marketing, advertising, and communications to ensure regulatory compliance.
Complaints: Responsible for executing the Compliance Risk Management Program of the Bank and/or the Wealth segment, with a focus on Complaint oversight. Maintains knowledge of new and existing laws that impact enterprise activities to recommend necessary changes to mitigate compliance risk. This position ensures the legal, operational, and risk management compliance of the Bank at a high level of complexity and ability. Facilitates the security and integrity of Bank activities through the expert identification of risks, inefficiencies, and compliance issues.
Obligations Management: Responsible for executing and sustaining the Compliance Risk Management Program of the Bank's Regulatory Obligations Management Program. Ensures that regulatory requirements are accurately interpreted, documented as discrete obligations, and aligned to business applicability, risk taxonomy, and control frameworks.
Licensing
: The Licensing & Registration Specialist will provide operational and compliance support to the Wealth Compliance Licensing & Registration team. This role is responsible for helping to ensure branch and representative registrations and filings remain current and accurate, preparing and processing Form U4 and related filings, performing report reconciliation, and supporting onboarding and offboarding tasks for registered and non-registered personnel.
Functional Skills
Skills and Qualification
- Experience and understanding, including assessment of risks and controls, a minimum of 15+ with a financial services organization.
- Strong organization skills, attention to detail, and communication skills for collaboration, reporting, and documentation of obligations.
- Ability to work independently or with a team, meet deadlines, and pivot as priorities shift.
- Ability to identify and provide feedback regarding process improvements and potential risks.
- Proficiency in Governance, Risk, Compliance Systems
Technical/Business Skills
- Experience in Compliance, Legal, Audit, Regulatory Compliance Management Banking, or related field.
- General knowledge of consumer and commercial banking business, as well as the relevant regulations for Large Financial Institutions (e.g., for investments/securities, lending, deposits, payments, banking operations, foreign exchange, payments and channels, and data privacy)
- Experience in creating obligation requirements from laws, rules and regulations within the banking industry.
- Experience of working in one of the three lines of defense within a financial services organization.
- Great organizational skills plus strong analytical and problem-solving skills
Leadership Qualities
- Strong leadership skills including coaching and guiding team, providing performance feedback, leading team through periods of change and transition, and ability to build strong relationships within the team.
- Ability to work independently with minimal oversight, execute against priorities in a timely manner, and adapt to priority shifts.
Relationships & Collaboration
- Ability to build and maintain strong working relationships with business partners through strong communication and a proactive approach to problem solving and identifying risks.
Accessibility Needs
We are committed to providing an inclusive and accessible hiring process. If you require accommodations at any stage (e.g. application, interviews, onboarding) please let us know, and we will work with you to ensure a seamless experience.
Equal Employment Opportunity
FC Global Services India LLP (First Citizens India) is an Equal Employment Opportunity Employer. We are committed to fostering an inclusive and accessible environment and prohibit all forms of discrimination on the basis of gender, religion, caste, disability, sexual orientation, economic status or any other characteristics protected by the law. We strive to foster a safe and respectful environment in which all individuals are treated with respect and dignity. Our EEO policy ensures fairness throughout the employee life cycle. 
