Head- Regulatory Compliance

 Chennai, India       Permanent contract        Project Management

Responsibilities

Head of Capital Markets Surveillance Team, Regulatory Reporting, Remediation Programs and Risk Assessment teams. The scope covers Trade Surveillance, Communications Surveillance, and Disclosure of Interests, Regulatory Compliance and Reporting, Market Integrity, Remediation programs.


Operational Management

Primary:

·         Develop team programs that support the organization’s business strategy

·         Ensure financial compliance with Organization’s policies and procedures and applicable legal rules and banking regulations

·         Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity

·         The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture

·         Ability to work independently and accurately prioritize workload with minimal supervision

Functional:

·         Analytical skills and solid financial expertise are paramount

o    Necessary to understand communications of Front Officers and transactions on complex products.

o    The candidate must be ready to cope with a significant workload of alerts and messages to review every day

o    Promptly undertake communications surveillance using the firm's oral and written communications surveillance tools

o    Promptly investigate and clearly communicate issues arising from the surveillance activities, involving advisory compliance officers as required

o    Required to exercise judgment on regulatory risks applicable for both Trade and Communications surveillances

o    Actively participate in regulatory and internal investigations as required

o    Manage and Mitigate Risks - Conclude investigations of potential and actual non- compliant activities (Intermediate)& Review system safeguards and recommend process enhancements

 

Team Leadership

·         Ensure team members have individual performance plans

·         Monitor team performance and conduct regular appraisals

·         Manage training and development of team members.

·         Cooperate and support the management in implementation of any other initiative that may arise during the year

Relationship Management

·         Foster a customer-focused working environment, with clear responsibilities and expectations for team members

·         Develop and maintain collaborative relationships with key clients

·         Establish and maintain active and constructive relationships with other teams in the organization.

·         Ensure team members understand Client needs and deliver the expected outcomes

·         Regularly review work processes for areas of improvement

·         Share best practices with peers and support in creating a Culture of Excellence


Profile Required

Experience: 12-15 years


Basic Qualification

·         Bachelor’s degree or equivalent work experience required

·         Must have a proven experience in a Regulatory Compliance, Trade and Communication surveillance

·         Knowledge of Risk, Compliance and Controls

Additional Qualification

·         Good analytical skills with high attention to detail and accuracy

·         Excellent verbal, written, and interpersonal communication skills

·         Ability to interact with all levels of an organization

·         Strong organizational, multi-tasking, and prioritizing skills

·         Ability to execute in a fast paced, high demand, environment while balancing multiple priorities

·         Ability to articulate complex concepts in a clear manner

·         Solid critical thinking skills

·         Solid problem-solving skills

·         Solid decision-making skills

·         Ability to develop partnerships and collaborate with other business and functional areas

·         Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important

·         Ability to identify risks and propose mitigation plans

Advanced Microsoft Office skills

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's Global Solution Centre (SG GSC), a 100% owned subsidiary of European banking major Societe Generale's (SG), Our role and purpose is to enable the strategic vision of Societe Generale's 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 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”.


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: 20000M0U
Business unit: SG Global Solution Centre
Starting date: 16/11/2020
Date of publication: 14/10/2020
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Head- Regulatory Compliance

Permanent contract   |   Chennai   |   Project Management