Job
Description
Embedding the regional best practice governance model in the location while ensuring local regulatory requirements/expectations are met Coordinate and help in conducting the Location Operating Committee (LOC) for the India Branch Presenting a holistic, aggregated view of all aspects of controls over operational risk Identifying emerging control issues and driving remediation/change, where required Understanding business and process changes and ensuring execution in a timely manner in support of the location Ensuring operational risk control and regulatory matters are included in location governance, that issues are logged, remediated and closed in accordance with corporate guidance Partnering with the business and Functional Control Officers to ensure the local Controls agenda is clearly understood to facilitate its delivery Engaging with local Compliance to ensure local requirements and issues are fully understood and escalated within the local and regional governance agenda Measuring, monitoring and reporting on the effectiveness of the regional location programme via governance, the provision and analysis of consolidated location MIS and reports (including operational risk control reviews) Adherence to policy, best practices, and location landscape reporting and location health assessments Engaging with Business/ Functional Control Manager and Operational Risk Managers to ensure CORE action plans and RED events are treated in accordance with policy across the location Reinforce the Location Control Framework Facilitate Concurrent Audit reviews of relevant functions Monitoring control gaps and remediation, ensuring satisfactory resolution of issues is recorded in governance forums and corporate systems (e.g. CORE) and that remedial actions are fully embedded Diagnosing and benchmarking capabilities and good control practices and ensuring exporting of these practices across businesses/functions Ensuring adequate understanding of issues, maintaining a look ahead across the location for operational risk control impacts Supporting and/or executing the roll out of global/regional control initiatives in the location, e.g. outsourcing, OLO, CORE ,QORA etc., while ensuring country specific requirements are met Ensure that a comprehensive Location Regulatory Engagement process is in place and executed Ensuring operational risk regulatory matters are included in location governance and that issues are remediated and closed in accordance with corporate guidance Partnering with local Compliance to ensure regulatory matters are managed and escalated at appropriate governance forums Managing cross-business regulatory exams / reviews / submissions / audits , both ad hoc and periodic, in partnership with Compliance Reviewing materials, which are cross-business, provided to regulators, coordinating CORE input of issues and actions, including ownership assignment, and tracking actions until completion. Leading the execution of remedial actions where needed Qualifications 10+ years work experience in financial services A good understanding of Corporate Investment Banking products and markets Ability to engage with location Regulators and Auditors Highly motivated, energetic self-starter who takes ownership Good organizational skills - manages prioritizes multiple tasks across different time horizons within deadlines A good understanding of controls and how to apply them to different processes and businesses Strong analytical, problem solving process re-engineering skills Excellent Excel, Word, PowerPoint skills Excellent verbal and written communication skills Strong team player with excellent partnering and influencing skill
