Compliance Officer

Job Description

Opening: Compliance Officer Direct Responsibilities I. Roll out and monitor adherence to Compliance Policies Manage Professional Ethics (PE) related activities and controls Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy Review new policies rolled out and implement the same for ISPL, as applicable / appropriate Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects II. Review of Transition related documents Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately Maintain repository of transition related Compliance approvals III. Compliance Trainings Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff Regularly communicate policies and major changes / highlights through various channels IV. Ensure deployment of robust control framework Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks Coordinate on compliance related incidents and ensure appropriate action plans are put in place Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed Review queries on outsourcing and technical assessments from compliance perspective V. Reporting Preparation of various MIS, dashboards and other compliance reports Contributing Responsibilities Coordination with various departments / mtiers / functions / countries Communication across all levels to ensure management directions including group guidelines are understood Organization & co-ordination of compliance-related awareness-raising and training action Participating in new compliance projects and initiatives Contributing to preparation of compliance decks in various committees and forums Technical & Behavioral Competencies General knowledge of Capital Markets and sound understanding of Financial Security matters Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus Experience of working in international banking business structure Strong English communication skills Stakeholder management skills Self-motivated and result oriented, with the ability to identify & solve issues and work under pressure Mode : Hybrid 5 Days / 2 Off Location : Chennai(Only Chennai location, no relocation