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Vice President - Transversal Risk Management

Vice President - Transversal Risk Management

BNP Paribas

15 - 20 years

50 - 55 Lacs

mumbai

Posted:1 week ago| Platform:

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Skills Required

risk management aml risk assessment kyc control testing kyc stakeholder management compliance risk

Work Mode

Work from Office

Job Type

Full Time

Job Description

Position Purpose

ISPL Compliance Hub supports global compliance teams for the Group and is one of the key offshoring platforms for compliance processes.

Transversal Risk Management team within Compliance is responsible for 1LoD controls (on Compliance processes) and 2LoD controls (on business processes). The individual would lead a team of 12 analysts with 1 or 2 direct reporting leads with a two-team setup: one team focused on performing control testing for KYC, another focused on performing control testing for other domains such as AML, Financial Sanctions, Professional Ethics, Market Integrity and Protection of Clients Interests (PIC).

Responsibilities

Direct Responsibilities

The primary responsibilities are outlined below:

Lead a team of analysts in deployment of a robust Compliance control framework across the region, with the execution of independent testing / 2nd level controls

KYC Control testing
Non-KYC Control Testing notably Financial Security (AML and Sanctions), Professional Ethics (PE), Market Integrity (MI) and Protection of Clients Interest (PIC)

KYC Control Testing

Execution of Independent Testing plans mainly focused on verification & re-performance of 1LoD KYC controls

Non-KYC Control Testing, notably Financial Security (AML and Sanctions), Professional Ethics, MI and Protection of Clients Interest Compliance domains

Execution of Compliance Controls on non-KYC matters
Management of transversal Compliance risk assessment initiatives, governance and reporting
Tracking of Compliance-owned recommendations to ensure that corrective actions are implemented within agreed timeframe
Follow-up of Compliance related incidents and ensure appropriate action plans are implemented
Execution of Compliance procedure governance for supporting appropriate implementation of procedures throughout the Compliance organization, in collaboration with local procedure managers.

TeamManagement

Mentoring and coaching team members to ensure growth and sustainability within the team and help keep attrition minimal
Ensure hiring for replacements / expansions are carried out in a timely manner
Identify any training needs / gaps for team members and ensure training plan is put in place and tracked
Regular 1:1 with team members
o Provide managerial direction and oversight on team activities / tasks performed for onshore

Governance

Serve as a primary point of contact for onshore/Stakeholders
Ensure necessary governance and controls are put in place and tested for processes managed this includes BCP, SOP, LOUs and SLAs
Perform quality assurance and other review activities as required. This may include periodic reporting, recurring management updates and various forms of issue tracking
Ensure TAT adherence and any breaches / errors are reported to the right forum along with a corrective action plan in place
Complete understanding of the process to be able to provide guidance to the team and help identify risks and methods to mitigate them

Contributing Responsibilities

Ensure clear and crisp communication with onshore as well as local team.
Ability to work and deliver on reports and projects, which requires a high degree of flexibility and strong prioritization skills
Comply with procedure and other relevant policies/ procedures of BNP Paribas group and regulations, and industry best practice
Be supportive and adoptive to changes of procedures and scope of work

Technical & Behavioral Competencies

Experience in the Banking industry and knowledge of Compliance domains like AML/KYC/Sanctions, PE, MI and PIC
Experience in Compliance Risk
Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff
Strong ability to meet deadlines
Strong Stakeholder Management skills
Sense of precision and attention to detail in maintaining documentation and audit trails
Must have strong interpersonal skills, a flexible, collaborative and team-oriented approach to problem solving and an ability to work in a fast-paced, rapidly changing environment.
Experience in team handling and people management

Proficient in Microsoft Excel and PowerPoint.

Specific Qualifications (if required)

Bachelor's degree or higher from an accredited institution
Audit experience

Skills Referential

BehaviouralSkills:

Decision Making
Resilience
Critical thinking
Client focused

Transversal Skills:

Ability to anticipate business / strategic evolution
Ability to inspire others & generate people's commitment
Ability to develop others & improve their skills
Ability to develop and leverage networks
Ability to set up relevant performance indicators

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Vice President - Transversal Risk Management