AVP - Regulatory Compliance - Investment Bank

Introduction:

The AVP, Compliance Framework and Policies position is an integral role for the delivery of the Compliance Risk Management Framework within the Compliance Function, with responsibility for:

- Annual and out of cycle refresh of the suite of Compliance Risk documents and associated Horizontal-owned controls

- Managing day-to-day escalations of Compliance Risk Framework, Policy and Standard matters

- Providing advice, guidance and recommendations on Framework, Policies, Standards and related processes; for example, the Compliance Risk Dashboard

What will you be doing?

- Mapping of Laws, Rules, and Regulations to Policies, Standards and Controls

- Initial drafting and ongoing review of the Compliance Policies and Standards, including articulation of the H-Global and H-Local Controls, underpinning the Compliance Principle Risk

- Primary point of contact for Compliance stakeholders requiring advice and guidance on implementation of the Framework, Policies and Standards

- Liaison with other key stakeholders, such as Chief Controls Office, Legal, business working groups, etc, in relation to the management of the Policies and Standards

What we're looking for:

- Knowledge of the Conduct regulatory environment and risk management frameworks

- Understanding of US, UK, EU and other jurisdictional laws, rules, regulations, regulatory expectations and industry best practice

- Proven track record of stakeholder management skills, with strong negotiation and influencing skills

- Strong organisational, planning and problem-solving skills, ability to multi-task and demonstrate flexible thinking

- Excellent written and verbal communication skills

- Graduate / Post graduate.

Skills that will help you in the role:

- Experience of working within a highly regulated environment along with a sound understanding of the current environment and key issue within financial services

- Experience of drafting Policies, Standards, and/or Procedures

Where will you be working? - Pune