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Job Location | Navi Mumbai |
Education | Not Mentioned |
Salary | Not Disclosed |
Industry | Banking / Financial Services |
Functional Area | Sales / BD,Finance / Accounts / Tax |
EmploymentType | Full-time |
Roles and ResponsibilitiesPosition PurposeImplementing Code of Conduct key requirements, policies and local regulations by taking into account the specificities and regulations applicable to the Territory.Ensuring relevant controls are set up and implemented and the commitments for insourced services are carried out in accordance with terms of SLAs.Ensuring regulatory commitments given for offshoring activities are adhered to.Contributing to the definition and implementation of appropriate measures to manage reputational riskResponsibilitiesDirect ResponsibilitiesI. Roll out and monitor adherence to Compliance PoliciesManage Professional Ethics (PE) related activities and controlsEnsure 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.II. Review of Transition related documentsReview 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 / conditionsMaintain repository of transition related Compliance approvals.III. Track local regulatory/statutory requirementsMonitor compliance with local regulatory requirements: STPI, DoT, etc.IV. Mandatory TrainingFacilitation and tracking of mandatory Compliance trainings.V. Maintaining repository of Master Letter of Undertaking (MLoU)Informing staff to acknowledge MLoU and tracking the same to completion. Sharing of staff acknowledgement list with service recipient Compliance/Legal contacts.VI. Voice RecordingsMaintaining supporting approvals and records in addition to performing regular controls.VII. Ensuring deployment of a robust control frameworkRolling out and performing controls based on service recipient Compliance / regulatory requirements for offshoring activities and local requirements,and analyzing results of the same.VIII. ReportingPreparation of various MIS, dashboards and other Compliance reports.Contributing ResponsibilitiesCoordination with various departments / mtiers / functions / countriesCommunication across all levels to ensure management directions including group guidelines are understood.Organization & co-ordination of compliance-related awareness-raising and training actionParticipating in new Compliance projects and initiatives.Technical & Behavioral CompetenciesGeneral knowledge of Capital MarketsPrior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plusExperience of working in international banking business structureStrong English communication skillsStakeholder management skillsSelf-motivated and result oriented, with the ability to identify & solve issues and work under pressureQualifications General knowledge of Capital MarketsPrior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plusExperience of working in international banking business structureStrong English communication skillsStakeholder management skillsSelf-motivated and result oriented, with the ability to identify & solve issues and work under pressure,
Keyskills :
customer relationsinsurancequalitysalesmiscode of conductmusic makingservice levelrobust controlrisk assessmentprofessional ethicsinternational bankingregulatory requirementssetdotriskstpigiftsethicsbanking