Compliance Risk Controller

Permanent contract|Bangalore|Legal / Taxation / Compliance

Compliance Risk Controller

Bangalore, India Permanent contract Legal / Taxation / Compliance

Responsibilities

1) Support the manager of the Compliance Control team to identify key risk areas
2) Perform assessment of existing controls as per the defined control plan
- 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 formalized control on schedule and in accordance with CTL standards and methodology
- identify gaps between existing 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
- ensure record keeping of all working papers
3) Show autonomy in delivery of assigned duties including planning of own work, proactiveness and timely escalation
4) Ensure adherence to the global operating guideline on second level control
5) Establish a good working relationship with both internal & external stakeholders
6) Identify key business changes through stakeholder connects and assess key risks for the perimeter concerned
7) Regular of knowledge on internal incidents, external enforcement and regulatory developments
8) Other responsibilities
- Maintain an updated knowledge of various appliacble laws and regulations, e.g., FCA, SFC, HKMA, MAS, etc.
- Maintain an updated working knowledge of the existing SG policies framework, compliance incidents and any key regulatory development at group and regional level

Profile required

Professional diploma or qualifications in Compliance and/or Audit (preferred). 
E.g. CAMS, CFE, CIA, CISA or related Certifications

Technical:

Fair knowledge of Compliance risks in the global banking environment.

This may include the risks related to 
- Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)
- KYC and client due diligence activities
- Laws and regulations related to Anti-Bribery and Corruption
- Laws and regulations  related to Market Integrity and practices such as Market abuse, insider trading, front running, trade surveillance and monitoring,  E.g., DFA, Volcker's, EMIR
- MiFID, FCA CASS and other applicable client protection laws and regulations 
- GDPR and other client protection laws and regulations
- Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc

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.

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

Societe Generale Global Solution Centre (SG GSC), a 100% owned subsidiary of European banking major Societe Generale (SG), Our role and purpose is to enable the strategic vision of Societe Generale Group. We are doing this by pioneering cutting edge innovation from Design Thinking to Smart Automation & Artificial Intelligence, and applying it to banking.

 

SG Global Solution Centre provides services in the areas of Application Development and Maintenance, Infrastructure Management, Business Process Management, and Knowledge Process Management, to Societe Generale's business lines around the world.

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.

Reference: 210003F0
Entity: SG Global Solution Centre
Starting date: 2021/04/16
Publication date: 2021/02/16
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