Associate Director - Global Compliance - BFSI

Key Duties & Responsibilities:

- Organizes, supports, and performs compliance risk assessments, monitoring, and surveillance activities to identify compliance issues, concerns, and deficiencies.

- Assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports.

- Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected.

- Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs.

- Reviews reports on the results of compliance and ethics initiatives of applicable business units.

- Assists with administering the firm's process for identifying and addressing regulatory changes that are impactful to the firm.

- Synthesizes structured and unstructured data related Risk and Compliance monitoring and testing, issues, regulatory changes, programs, and assessments.

- Supports efforts to identify and implement efficiencies and technology enhancements, such as automation and robotics, to support Compliance processes. Liaises with Compliance, Risk and IT teams as needed.

- Maintain strong relationships with global and local stakeholders to understand emerging trends from Risk and Compliance perspective.

- Understanding on Investment Compliance, Employee Ethics and Privacy Compliance aspects.

Management/Leadership Responsibility:

- Lead a team of Associates

Skills Required :

- Must be extremely detail-oriented with a very inquisitive nature, and possess sound judgement while operating with utmost integrity.

- Strong organizational and problem-solving skills along with the ability to conduct research utilizing a variety of resources. Must be comfortable issue spotting.

- Strong time management, analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.

- Must have strong written and oral communication skills to interact effectively with business partners and colleagues.

- Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.

- Exposure and experience in using risk and monitoring tools and techniques.

- Exposure to data mining techniques / tools would be an added advantage.

Functional Knowledge Required:

- Experience in a financial services firm in a Risk & compliance monitoring function.

- Knowledge of US-based regulatory requirements for financial firms would be added advantage.

- Strong Microsoft Office skills (Power Point, Word and Excel / pivot tables)