Financial Crime Compliance Officer

2 weeks ago

Mumbai, India Credit Suisse Full time

**Your field of responsibility**

Financial Crime Compliance (FCC) is a compliance and risk management function responsible for the ongoing monitoring and oversight of the FCC program in India. It includes the provision of advisory support to business areas and ensuring adherence to regulatory requirements, policies and standards. The FCC function, as a second line of defense, also poses credible challenge to the business controls framework, pursuant to applicable financial crime risks.

The FCC team has oversight and coverage of Private Banking (PB), Investment Banking & Capital Markets (IBCM) including Asia-Pacific Financing Group (AFG) and Asia-Pacific Global Markets (Markets) businesses operating in India.

Key Responsibilities
- Fulfil obligations and duties as Principal Officer for CS Securities India entity
- Track and disseminate the regulatory changes. Bring out key impact areas and socialized with first line partners
- Perform gap analysis of regulatory guidelines and ensure policy updates
- Provide guidance and risk-based solutions to the business on local, regional and global policy requirements
- Assisting the MLRO with the performance of risk assessments and identifying risks associated with new products, services, complex transactions, clients and geographies
- Supporting the MLRO during regulatory reviews and statutory notices
- Optimally Perform quality assurance checks / four eye checks on the transaction monitoring alerts
- Assisting in the development, delivery and tracking of training to Front Office and support areas
- Conducting database searches, identifying and escalating adverse information, sanctions, reputational and sustainability risks, market risk exposure, etc, arising from client relationships and third-parties
- Undertaking detailed financial crime investigations, including documenting specific due diligence and drafting case recommendations to MLRO on whether reasonable grounds for a suspicion exists, in relation to a client and/or third-party, in accordance with Australian regulatory requirements
- Collaborate with regional offices on the implementation of projects, initiatives and platform changes impacting the India Program
- Performing compliance reviews on reporting obligations under FIU India
- Assisting the MLRO on FCC sign off by performing Subject Matter Expert review over front office procedures
- Assisting the MLRO in implementing regulatory change, new and revised policies and standards, as applicable, and the ongoing improvement of the local AML/CTF program.

Other General Responsibilities
- Awareness and understanding of business products and services and keeping up to date with industry practices
- Proven understanding and adhering to other associated bank policies
- Tackle+ appropriate handling of sensitive and confidential investigations and client information
- Encouraging a positive and professional work environment with corporate functions and business partners
- Building and maintaining positive relationships with business and first line of defense personnel
- Responsible for supporting the coordination of internal and external audits and reviews related to the function
- Producing and acting on management information reports to country and APAC management
- Manage to be up to date with training requirements
- Result oriented, dedicated, hardworking who can work on own initiative and can deliver on time under pressure with a high level of integrity and flexibility, sense of urgency, attention to detail and quality standards

**Your future colleagues**:
We are a department which values Diversity and Inclusion (D&I) and is committed to realizing the firm’s D&I ambition which is an integral part of our global cultural values.

**Your skills and experience**
- Fair knowledge of regulatory reporting obligations e.g. FIU India, RBI, SEBI relating to KYC / AML area
- Outstanding understanding and fair knowledge of product framework under RBI and SEBI product licenses
- Proven experience to interact with regulators and handling inspections

Dedication to fostering an inclusive culture and value diverse perspectives.

**Your new employer**:
Find a new home for your skills, ideas, and ambitions. Credit Suisse offers you the ideal environment to progress your career, attractive benefits and excellent training.

We are a leading wealth manager with strong global investment banking capabilities founded in 1856. Headquartered in Zurich, Switzerland, and with more than 45,000 employees from over 150 nations, we are always looking for motivated individuals to help us shape the future for our clients.

Credit Suisse is an equal opportunity employer. Welcoming diversity gives us a competitive advantage in the global marketplace and drives our success. We are committed to building a culture of inclusion with a deep sense of belonging for all of us. We will consider flexible working opportunities where possible. Our bank provides reasonable accommodations to qualified i

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