Senior Lead Compliance

2 days ago

Bengaluru, India Novo Full time
About the Role:

Compliance :Assist in developing compliance policies, procedures and job aidsAssist in the delivery of supporting documents to banking partners and law enforcement agencies who provide subpoenas addressed to NovoCoordination with internal departments (if required) to gather subpoena documentsDevelop responses to BBB & Regulatory complaints received, as per procedureDevelop debrief documents in alignment with compliance issues raised by other departments and internally within the compliance teamTriage and execute raised compliance issues/enhancements in alignment with regulation, internal policies and proceduresPerform necessary research to establish an in depth understanding of various US regulations and upcoming changes to determine implication to Novo compliance operations/programMonthly reporting / Ad Hoc project(s) support

Third Party Risk ManagementHandling end-to-end vendor/partner onboarding requests as per TPRM procedure for US and India vendors/partnersNew Vendor/Partner OnboardingNon Disclosure Agreement (NDAs)Renewals, Amendment to existing contracts, TerminationsAs part of procurement review, perform due diligence checks on vendors/partners to :Review the vendor/partner request and work with the requesterPerform Vendor Risk Assessment to assess the criticality level and assign risk ratingPerform OFAC and negative media screeningObtain required documents from the vendor/partnerWork closely with the requester and vendor/partner to expedite the processPerform initial assessment and review of vendor/partner contracts/agreements prior to escalation for Legal and Finance reviewEstablish documentation to summarize TPRM profiles for active vendors/partnersWork with Finance, Legal & Infosec teams for required approvals, scheduling and leading meetings as necessaryDevelop trust and relationship with requestors, including but not limited to business development, product and engineering channels.Perform periodic review of vendors to keep the profile up to date :Obtain the latest documents by outreaching internal POCs or vendors/partnersPerform vendor risk assessments & screening (OFAC / negative media)Willing to contribute in the new vendor selection process if requiredManage day to day operational activities by managing daily request, periodic reporting, trackers and applicable third party risk management toolsWork with Senior Manager of Compliance Strategy to identify and implement enhancement opportunities to TPRM compliance program and applicable systemsDevelop exception reports as required by due diligence reviews performed for Compliance, InfoSec, Legal or Finance

Requirements for the Role:Minimum bachelor's degree, preferably in business, economics, finance, or other technical disciplines. Law degree and/or compliance certifications are a plus6-8 years experience working in the financial services/banking industryBackground working in U.S. markets, in a fintech/tech company, or bothComfortable working in the US ShiftFlexible to contribute as per business requirementsWork on process improvements, conducting training and develop standard operating proceduresHigh attention to detail, ability to oversee critical analytics projects from end to end independentlyAbility to think outside the box, work with limited data, and find solutions to unorthodox problemsExcellent written and verbal communication skills, which can be leveraged for senior leadership and external party correspondenceExcellent reading comprehension skills. Ability to understand regulatory and legal language is a plusKeen ability to identify potential unforeseen issues and escalate to management with recommendationHigh drive of execution, bring tasks and projects to completion with efficiencyAbility to thrive in an ambiguous environment and adapt quickly to changing priorities; focused on getting things done in a highly organized way.Ability to work cross-departmentally, without the need for extensive hierarchical corporate structureAn inquisitive and highly detailed oriented work ethic

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