Role & Responsibilities:
- Implementing the Core Compliance & Conduct Operating Model
- Engaging with all Powai functions, providing advisory support, and participating in / driving governance forums from a Risk Management perspective
- Designing, updating and implementing Compliance and Conduct relevant policies and procedures
- Designing and implementing the annual Training & Awareness plan, covering Compliance & Conduct relevant topics
- Designing and implementing Compliance and Conduct Risk Assessment frameworks, leading to the identification of focus areas from a Compliance and Conduct perspective
- Monitoring & Testing of Compliance and Conduct relevant risks
- Managing issues, and ensuring action plans are implemented effectively from a risk mitigation perspective
- Conducting Surveillance related activities, in line with Compliance requirements
- Driving initiatives such as the Annual Affirmation program
- Performing data analysis on Core Compliance relevant metrics, leading to effective risk mitigation strategies
- Ongoing interaction and partnership with senior stakeholders and counterparts, locally and in the region
Mind Set:
Mandatory Desired Domain / Technical
- 2 - 5 years of demonstrated experience in a Compliance and / or Control and / or Line of Defence (LoD) function in the financial services industry
- Excellent communication and influencing skills, with a good understanding of Compliance and Regulatory requirements
- Demonstrated experience with regards to design / implementation / participation in Risk Assessment related initiatives
- Good understanding of the Investment Banking business and the Financial Services regulatory environment
- Proven project management and people management experience would be an added advantage
- Knowledge and understanding of Data Analytics tools and technologies
Interpersonal
- Strong interpersonal and administrative skills, mature judgement, and high ethical standards
- Pro-active, with a mind set to drive efficiency
- Ability to identify issues and knowing when to escalate
- Self-starter, with an ability to multi-task
- Critical thinking, Conflict Management
