Lead Control Assurance

Location

Bangalore | India

Job description

1) support the manager of the Compliance Control monitoring team to identify key risk areas
2) Identify key business changes through stakeholder connects and assess key risks for the perimeter concerned as directed by the CPLE CTL Manager
3) Knowledge on internal incidents, external enforcement and regulatory developments
4) participate in assessment of existing controls as per the defined control plan and the direction of the CPLE CTL management

- ensure a good knowledge of existing policies and procedures on which the control assessed is attached to
- assess the design and the execution of each existing formalized controls on schedule and in accordance with CTL standards and methodology
- identify gaps between existing controls and expected controls and design a cartography to highlight issues to fully cover the risk at stake
- ensure identified gaps are debriefed to relevant stake holders, corrective action plans agreed and contribute to report writing
- identify weaknesses, timely escalate any issues and define corrective action plan
- record keeping of all working papers
5) show autonomy in delivery of assigned duties including planning of own work, proactiveness and timely escalation
6) ensure adherence to the global operating guideline on second level control
7) establish a good working relationship with both internal external stakeholders
8) contribute towards development of SG GSC CPLE/CTL methodologies, policies and procedures in line with global guidelines
- Contribute to the writing of the CTL monitoring methodology update document detailing in the context of the creation of the function
9) Other responsibilities
- Maintain a detailed and updated working knowledge of various laws and regulations, eg, FCA, SFC, HKMA, MAS rules and regulations
- Maintain a detailed and updated working knowledge on the existing SG policies framework, compliance incidents and any key regulatory development at group and regional level

Profile required

Technical

Fair knowledge of Compliance risks in the global banking environment.

Required
Experience in below topics including but not limited to:

- Market Integrity (Market Abuse, Market Transparency),

-Client protection
- Laws and regulations related to Anti-Bribery and Corruption
- Prevention of tax evasion and related laws and regulations. eg FATCA, CRS, etc
-Data protection/archiving laws and thematics
-Compliance incidents management
-MiFID regulations
-Personal Account Dealing
-European Market Infrastructure Regulation (EMIR)
-Knowledge of equities, derivatives and bond markets

Added advantage
- Anti-Money Laundering, Terrorist financing, Embargos Sanctions (OFAC)
- KYC and client due diligence activities

Functional

• Fair understanding of Risk and control assurance activities which may include audit or control testing experience.
• Autonomous in delivering the assigned tasks. Good appreciation of contemporary risk methodologies and practices.
• Prior experience in performing testing reviews, discussing and agreeing key issues with senior stakeholders
• Knowing French can be an advantage, although not a necessity.
• Experience of working on multi location regional/global reviews.
• Good stakeholder management skills which will include both internal and external stakeholders.

Behavioral

• Result Orientation and time management
• Client Focus
• Stakeholder management
• Ability to work with diverse teams/Team player
• Conflict management
• Analytical problem solving
• Team player
• Communication Skills
• Presentation Skills
• Report Writing Skills
• Listening Skills
• Risk Sensitiveness

Job tags

Salary