Job Description

EMEA Compliance Governance and Risk

Division: Legal & Compliance                                                      

Job Title: Governance Associate/Manager 

Location: Mumbai (NKP)                                                              

Job Level: Associate/Manager

Company Profile

Client is a leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success.  Together, we share a common set of values rooted in integrity, excellence, and strong team ethic.  Client can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

 

Department Profile

Legal and Compliance

Legal & Compliance Division (LCD) comprises of Legal, Compliance, Global Financial Crimes and Regulatory Relations.

  • The Legal Department provides guidance, requirements, and procedures for understanding and complying with the laws, regulations and Firm policies that apply to our businesses.
  • The Global Compliance Department identifies applicable Compliance Obligations and maintains a Firmwide Compliance Risk management program, including Compliance Risks that transcend business lines, legal entities and jurisdictions of operation.
  • Global Financial Crimes is responsible for the development and governance of the Firm’s financial crime prevention efforts across all regions and business units. Global Financial Crimes is comprised of the Anti-Money Laundering (AML), Sanctions, Anti-boycott, Anti-Corruption (ACG), Government, and Political Activities Compliance (GPAC) programs.
  • The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory activities of Client’s regulators and related developments globally, with a focus on regulatory reviews and examinations and continuous monitoring activities. GRRG serves as the central point of contact for the regulatory staff responsible for supervisory activities at Client entities and for timely reporting to Firm management and other governance or management bodies, as appropriate, on those relationships and supervisory processes, including areas of significant regulatory focus or concern.

 

LCD Center of Excellence – Mumbai (LCDCoE) is a part of Client’s Global In-house Center, which provides global support to LCD and is an integral part of Firm and LCD strategy. 

The Compliance Governance and Risk Team report to the EMEA Compliance COO. The primary objective is to support senior management in running the Division in an effective and efficient manner. The team has a broad range of responsibilities. The core activities include co-ordination of the Division’s management information, management of the Annual Compliance plan, Integrated Risk assessment and key regulatory processes as well as managing the EMEA Compliance budget and headcount. This role will have exposure to a wide set of regional and global Compliance stakeholders and is an ideal opportunity to gain a broad overview of the Departments and their functions, the range of Client’s businesses and the governance and organization of the Firm.

Primary Responsibilities

The Team requires a dynamic and resilient individual with strong interpersonal and communication skills. The role will involve a specific emphasis on helping collate and consolidate an extensive list of Management Information reports. The role holder will report locally to the Mumbai COE Team and work closely with the EMEA Compliance Governance and Risk Team in London.

  • Collation and analysis of Management information (MI) - The team creates and analyses various MI and metrics to help identify and quantify risk for use within the Department, Global Compliance Function, Business Units and Infrastructure Functions, by Firm Management and the relevant UK entity boards (e.g. audit committee; Operating Committee)
  • Management of key Compliance regulatory processes for the department including complaints, regulatory reporting, and outsourcing.
  • Oversight of the Annual Compliance Plan and the on-going Compliance Integrated Risk Assessment
  • Management of the of the EMEA Compliance department budget and headcount

Skills required (essential)

  • 3 years+ working experience, preferably in professional services or financial services
  • Excellent relationship building and stakeholder management skills
  • Ability to deliver within defined timelines
  • Strong attention to detail
  • Ability to communicate issues and come up with pragmatic proposals
  • Confident self-starter and proactive approach to problem solving
  • Ability to remain focused under pressure and prioritize workloads
  • Able to work both as a team player as well as independently
  • Ability to analyze and challenge the data received from stakeholders as appropriate
  • Sound judgement and ability to effectively respond to issues and escalate appropriately
  • Ability to deliver high-quality output, with a focus on detail, accuracy and completeness
  • Conduct quality checks to ensure data shared with senior management is accurate
  • Create/maintain procedures and calendars for activities
  • Monitor deadlines and communicate delays and suggest options for resolutions
  • Strong proficiency in Excel, Word, SharePoint and PPT
  • Should have team management experience

Keys to success
 
  • It is important that the candidate is able to work in a flexible environment, as plans and priorities can change frequently.
  • High level of integrity, given the sensitive nature of some of the information made available. Much of the sensitive information can only be shared with certain audiences and the candidate should be able to clearly differentiate between those that should and should not have this data, as well as knowing when to escalate if unsure.
  • Due to the multi-tasking nature of the role, the candidate should be able to prioritize their own workload accordingly, tackling all projects to a high standard and within deadlines.

  Coverage

 

Monday to Friday from 11:30 AM to 8:30 PM. Coverage is dependent on business needs so flexibility on required finish time or full day’s coverage may be required during some Indian holidays.

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