Head of Compliance - Control Assurance

Permanent contract|Bangalore|Compliance

Head of Compliance - Control Assurance

Bangalore, India Permanent contract Compliance


Core/Key Responsibilities (include below but not limited to):

-Ability to analyze the risk of the process and understand the control built to mitigate/ minimize the risk.

-Ability to perform in- depth end to end control testing.

- Review of control execution for the Key Controls related to finance to ensure Controls are well followed.

 Strong communication skills and knowledge of Second Level Controls

-Assist in implementing the controls framework  with Finance team with objective to achieve efficiency and exhaustiveness

 Strong interpersonal skills

Profile required


Advanced 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. 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.


Advanced knowledge of Risk and control assurance activities which may include audit or control testing experience.

Prior experience in leading or supervising control testing reviews, discussing and agreeing key issues with senior stakeholders

Fluent Command over English language with excellent report writing and presentation skills.

Knowing French can be an advantage, although not a necessity.

Good Experience of working on process improvement initiatives which may include engaging the team in identifying and delivering efficiency gains through adoption of lean six sigma, RPA, Machine learning, etc.

Good Experience of working on multi location regional/global reviews.

Good stakeholder management skills which will include both internal and external stakeholders.

Experience of being people manager and responsible for recruitment, appraisal, career discussions, defining and communicating future growth path, etc.


Result Orientation and time management

Client Focus

Strong interpersonal skills

Coaching skills

People Development

Change management

Stakeholder management

Team Leadership

Ability to work with diverse teams/Team player

Conflict management

Educational requirement:

CA or MBA from Top Tier Colleges

Graduate/ Post Graduate in Finance as major


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


15 to 18 Years in Risk Management

Core/Key Responsibilities (include below but not limited to):

- Identify Risk areas and select major topics to be covered by Level 2 controls reviews
- Always ensure that all production activities and tasks managed by your team remain on schedule and delivered with quality
- Carryout supervisory checks for the activities/controls handled by team in order to ensure quality and timeliness in production
- Participate and implement initiatives to build and establish strong expertise on processes and applicable regulations
- Handle governance and coordination responsibility for working with stakeholders to provide timely updates and any production related issues or bottlenecks
- Ensure that resources are well deployed and utilized to deliver as per set KPI and ensure backups are in place with a focus on establishing subject master expertise with respect each departmental activity
- Support Digitalization initiative through the promotion of Self Automation solutions and through interactions with Data Lab

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

At Société Générale, we are convinced that people are drivers of change, and that the world of tomorrow will be shaped by all their initiatives, from the smallest to the most ambitious.
Whether you’re joining us for a period of months, years or your entire career, together we can have a positive impact on the future. Creating, daring, innovating and taking action are part of our DNA.
If you too want to be directly involved, grow in a stimulating and caring environment, feel useful on a daily basis and develop or strengthen your expertise, you will feel right at home with us!
Still hesitating?
You should know that our employees can dedicate several days per year to solidarity actions during their working hours, including sponsoring people struggling with their orientation or professional integration, participating in the financial education of young apprentices and sharing their skills with charities. There are many ways to get involved

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, 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: 21000OEM
Entity: SG Global Solution Centre
Starting date: immediate
Publication date: 2021/09/29