Assistant Vice President - Risk & Compliance - Banking

In Global Banking and Markets, Client Onboarding lifecycle management is crucial for acting on the responsibility to detect, deter and protect against financial crime.

GBM Client Operations brings together all the client onboarding functions (except KYC) within GBM to operate as one single organization / unit with a view to provide full / E2E client onboarding & client service support covering the entire client lifecycle for all product areas with in GBM, across all key geographies and client segments. 

- This organization brings together Client management, Credit analysis, data services and documentation teams under a single leadership to deliver significant transformation in the client onboarding space over next 3 years. The GBM Client Ops team in GSC will work closely with both the RMs in the business and Client Managers with in GBM Client Ops hubs to ensure the operational management of client lifecycle events is independently managed with all the downstream functions while meeting the required client due diligence, global standards and regulatory requirements. 

- This will be achieved through strong discipline on costs, operational risk & control management and strong client and service orientation. The objective of the organization is to significantly transform the client onboarding experience and provide world competitive business service.

The Lead for CDD, Regulatory and CAU will include, but is not limited to:

- Management of issues through various stakeholders deliberation and discussion

- Producing GSC deliverables from reviews performed

- Tracking of issues identified and ensure appropriate closure and control remediation.

- Establishing a culture of risk awareness

- Participate in policy/guidance formulation, strategize execution in ensuring that Operations comply to GBM Client Operations policy/best practice/guidelines

The function also requires collaboration of CCO Client Operations function globally.

Knowledge & Experience / Qualifications (For the role - not the role holder. Minimum requirements of the role.)

Knowledge - 

- A degree/professional qualifications in banking / financial / management / business administration / accounting

- A working knowledge of Global Banking and Markets processes and trade lifecycle

Experience - 

- Risk professional with at least 5-6 years combined experience in Banking Operations/Back Office Operations, Operational Risk, Compliance or External/Internal Audit in a banking environment

Skills

- Leadership skills with ability to build rapport with and relate to and effectively develop a wide range of people.

- Good understanding and experience of compliance and/or Financial Crime regulations

- Microsoft skills Excel, MS Word & MS Powerpoint

- Understanding of the activities of relevant business lines and associated compliance risks

- Attention to detail, ability to self audit own work (deliverables subject to review of recipients from all levels)

- Able to multitask and work under challenging environment with tight timelines

- Able to learn quickly and transfers knowledge appropriately, understand and interpret numeric data

- Apt for continuous improvements, efficiencies and initiating process changes

- Effective communication (both in written and oral), planning and organizational skills

- Strong analytical and problem solving skills with aptitude for logic

Feel free to call me for any carlifications

Mandeep Kaur Bains
+91-9810-939835