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VP, Compliance Specialist, CIB - India

Job Description

VP, Compliance Specialist, Corporate & Investment Bank (CIB) India

Business Description

Global Compliance & Regulatory Management plays a critical role in the successful execution of the firm's compliance mission.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure that identifies, measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment.

Policies and Practices is a newly constructed unit within the Asia Compliance & Regulatory Management team with responsibility for oversight of the consistent implementation of Global policies & practices whilst ensuring regional and country nuances are adopted to take into account local law and regulation.  Such practices will include a common approach and framework for risk assessment, monitoring, testing and surveillance activities. The Compliance Testing Team is established in the region with presence in Hong Kong, Singapore, Australia, Japan, India and China.


Job Description:


The Compliance Testing Team is responsible for the timely and effective management and execution of the Regional Compliance testing program.  The testing team partner and support line of business Compliance officers and other areas of Compliance centrally.  Due to the expansion of the team we are looking for an experienced manage based in India to become part of the team in the APAC region, reporting to the Regional Head of Risk Assessment, Monitoring and Testing for Asia Pacific.  The role responsibilities include:


• Oversight of the quality of testing, reports and documentation for all testing performed by the APAC team.

• Timely execution of the Regional Testing program.

• Testing of businesses and processes impacted by Regulatory changes.

• Co-ordination with line of business Compliance Managers.

• Management of open issues arising from testing and ensuring that associated action plans are addressed.

• Co-ordination with Corporate functions globally in order to ensure that testing meets corporate standards.

• Working closely with CIB audit and Corporate Compliance to ensure the effectiveness of the compliance testing program.

• Co-ordination and oversight of Audit, Regulator and Client enquiries and reviews relating to Compliance testing.

• Involvement in Practices departmental projects.

Job Requirements


• Approximately 10 years relevant Compliance experience or other related experience such as legal, risk management, audit , operations controls or similar.

• A strong leader with between 3-5 years management experience.

• Excellent written skills with an ability to produce and oversee the production of well written Compliance testing reports and present findings to senior management.

• Strong attention to detail and quality.

• Ability to interpret regulations and assess operational Compliance.

• Strong communication, interpersonal and influencing skills.  The candidate should have the ability to establish credibility and strong partnerships with senior business leaders, control functions and corporate partners globally.

• Good organizational skills with the ability to oversee the workload of the APAC testing team and prioritize in order to meet tight deadlines.

• Strong self motivation with an ability to work independently to lead the APAC team and also execute reviews within defined timescales.

• Be a team player, able to work with other team members across compliance globally.

• Have a good appreciation of the regulations applicable in APAC.

• Have flexibility regarding working hours due to the global nature of the role.

• Expect to travel to other locations as required.

• Have either audit, relevant industry qualifications, or a university degree.



Req #: 150093247
Location: Mumbai, MH IN
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 50000 Indian Rupee (INR)

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