Compliance risk controller

 Bangalore, India       Permanent contract        Audit

Responsibilities

The Compliance risk Controller will have to manage autonomously the responsibilities set out in this job description. He

shall not make decisions which would have an impact on the delivery of the mission without referring identified to the

Regional head of Compliance Control Monitoring and getting his approval. The Compliance risk Controller shall escalate

any high risk/issue or bottleneck in the execution of the annual plan without delay to the Regional head of Compliance

Control Monitoring or Regional head of CPLE/CTL.

Contribute to the build of the annual control plan

- Support the manager of the Compliance Control monitoring team to identify key risk areas in the region for all compliance

risks and all Business and Support Units in the region

- Identify key business changes

- Ensure a regular knowledge of internal incidents, external enforcement and regulatory developments

Assess existing formalized controls following the annual control plan defined

- 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 (to fully cover the risk at stake) and design a cartography

to highlight issues

- Identify weaknesses, timely escalate any issues and define corrective action plan

- Deliver a report to synthetize the results of the assessment for a dedicated compliance risk thematic (all reports will be

reviewed and validated by the regional head of Compliance Control Monitoring)

- Record keeping of all working papers

Engage with business lines and Compliance stakeholders:

- Provide regular update of the mission to key stakeholders in relevant regions

- Comment and escalate key risks or issues identified and manage delivery schedule

- Provide KPI, KRI and key results/key information for management reporting purpose

Contribute to the development of CPLE/CTL GSC methodological, policies and procedures documents:

- Contribute to the writing of the CTL monitoring methodology update document detailing in the context of the creation of

the function

- Contribute to the construction of the KPI to follow the activity

Other responsibilities

- Maintain a detailed and updated working knowledge of the 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

- Perform permanent supervision controls, when required, regarding tasks of Control Monitoring team

Profile Required

Education

- University Graduate in Law, Bank & Finance or Economics

- Professional diploma or qualifications in Compliance and/or Audit (preferred)

Technical knowledge

- Working knowledge of regulations relating to financial services (FCA rules, EU directives, SFC, HKMA, and MAS etc)

- Working knowledge of Capital Markets and Investment Banking operations and products

General Competencies

- Analytical & problem solving

- Team player

- Hands on

- Report writing skills

- Listening skills

- Time management skills

- Communication, presentation skills

- Risk sensitiveness skill

Why Join Us

“We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status”



Business Insight

In a context of a significant global Transformation of the Permanent Control in Societe Generale WW, CPLE/CTL’s

mandate is to operate, within the 3 lines of Defense model, a 2nd Level Controls and Testing framework, from both

a regulatory and financial crime perspective, based around a robust compliance risk assessment, which drives the

prioritizati on of the control plan.

The objective of 2nd Level Controls and Testing is to assess and test independently the adequacy of the 1st Level of

control compliance framework that Business Units (BU) and Support Units (SU) have put in place to mitigate the risks of

non-compliance, reputation and misconduct that SG Group is exposed to across its business activities and operations

globally.

CPLE/CTL is organised around 3 teams:

1. Compliance Control Monitoring: in charge to assess all existing formalized compliance controls (for all compliance risks,

all BU SU, all countries), identify weaknesses and define key action plan

2. Compliance Testing Review: in charge to test the global existing compliance control framework on dedicated process

(risk-based approach), identify weaknesses and key action plan.

3. Transformation and Coordination team: in charge of all transversal processes to run the Transformation of the

permanent control framework and the annual plan (Risk assessment coordination, control plan coordination, methodology,

action plan follow up, budget…)

We are an equal opportunities employer and we are proud to make diversity a strength for our company. Societe Generale is committed to recognizing and promoting all talents, regardless of their beliefs, age, disability, parental status, ethnic origin, nationality, sexual or gender identity, sexual orientation, membership of a political, religious, trade union or minority organisation, or any other characteristic that could be subject to discrimination.

Job code: 20000657
Business unit: SG Global Solution Centre
Starting date: Immediate
Date of publication: 24/04/2020
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Compliance risk controller

Permanent contract   |   Bangalore   |   Audit