Compliance Officer

2 weeks ago

Mumbai, India Crédit Agricole CIB Full time

Job description

**Business type**:

- Types of Jobs - Compliance / Financial Security

**Job title**:

- Compliance Officer

**Contract type**:

- Permanent Contract

**Expected start date**:

- 01/01/2023

**Management position**:

- No

**Job summary**:

- For the business areas of the bank:

- Perform compliance analysis for & advise on Customer suitability, New Activities & Products (NAP) / Cross-border transactions / Complex & Sensitive transactions.
- Provide compliance advise for references made by the front / back office and other support functions (on transactions / activities / rules & regulations).
- Ensure dissemination of compliance related information and publication to the relevant staff / departments.
- Review business policies & operational procedures to ensure they embed group and local regulatory requirements as relating to Business Compliance matters. Monitor that such policies are reviewed on a periodic basis.
- Provide training covering group and local regulatory aspects as relating to Business Compliance matters.
- Regulatory watch: Keep track of & disseminate timely advise on new/ changing regulations concerning Business Compliance aspects, as issued by the RBI or FEDAI or FIMMDA or IBA or SEBI etc. & applicable from a group perspective as well. In this regard, maintain an effective tracker on actionable/s arising from these regulations and carry out effective follow up / escalation to assure timely implementation.
- Fulfill the compliance monitoring & reporting requirements for Business Compliance aspects under various group policies & local regulatory guidelines. Ensure Control Program/ Surveillance (including alert reviews) for these aspects are timely and effectively executed.
- Ensure timely submission of reports to HO & local Regulators. Contribute effectively towards adequate preparation and presentation of periodic compliance reporting e.g. RBS Tranches, NAP, Compliance Management Committee, Regional / HO reporting and local regulators.
- Regulatory liaison: For Risk Based Supervision (RBS), work with the HC to ensure continuous & effective communication with the Supervisory Relationship Manager (SSM), internal co-ordination / review of ongoing requests from the regulator for offsite monitoring, thematic reviews etc.
- Work with the HC to assist with liaison & co-ordination with regulators on Business Compliance matters (viz. clarifications / approvals & other issues). Ensure effective support for conduct of onsite regulatory inspections & periodic liaison in respect of the same. Engage / maintain operating relationships.

Position location

**Geographical area**:

- Asia, India

**City**:

- MUMBAI

**Minimal education level**:

- Postgraduate degree - MA/MSc/PhD/Doctorate or equivalent

**Academic qualification / Speciality**:

- Chartered Accountant or Company Secretary or MBA in Finance

**Level of mínimal experience**:
6-10 years

**Experience**:

- Experience in Business compliance in Banking sector

**Required skills**:

- The role offers a comprehensive exposure within the Business Compliance area spanning across Global Markets, Corporate Banking and Trade Finance which amongst others involves the use of analytical, investigative and communication skills. It envisages working independently with a progressive engagement with internal & external stakeholders. Consequently, the role provides a good platform for delivering value and enhancing competencies.

**Languages**:

- English, Hindi

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