Compliance Officer

1 month ago

Pune, India Credit Suisse Full time

**Your field of responsibility**

As a part of role, your responsibility includes:

- Responsible for strong Governance and Control framework for employee/ business/ vendor compliance
- Assist and provide advisory across divisions on meeting Compliance standards, applicable policies and procedures/ regulations relating to relevant business activities. Proactively highlight compliance related issues / Risks and identify relevant action owners to ensure successful closure
- Conduct periodic checks to provide risk-based oversight regarding compliance with relevant policies, procedures, systems, controls, and governance requirements affecting their business area
- Build strong and effective relationships across the business to promote a positive image of Compliance
- Maintain awareness of organizational structures and activities, including activities and inter-company relationships/dependencies, to understand business dynamics, pressures and needs
- Assist with identifying relevant training needs, planning, and conducting training activities to ensure employees/ vendor resources are aware of their responsibilities regarding compliance
- Ensure alerts / requests are called out, analyzed, and cleared accurately in a timely manner, while ensuring documentation of rationale and accurate record keeping. Review regulatory and compliance aspects of compliance related initiatives
- Prepare/Review MIs for distribution to Pune and Powai Chief Compliance Office (‘CCO’) Senior Managers and Global partners. Engage partners and team members actively in regular progress updates, decisions, and resolution of issues
- Lead/assist in assessment of conduct and compliance incidents in collaboration with control functions such as Operational Risk, Data Protection office, Information Security, General Counsel and HR.

**Your future colleagues**:
Pune and Powai CCO team in India interalia comprises of Compliance coverage team that provides compliance advisory support for deployed functions based in India across various divisions. CCO Coverage team is looking for a Compliance Officer who will report to the Lead of Coverage Compliance for Pune & Powai.
- Key responsibilities are to support the business through delivering effective compliance monitoring, oversight, and compliance advisory to the business and staff at Credit Suisse in India and its affiliates for policies, procedures, systems, and controls.
- Collaborate with other shared services functions and build a compliance culture through training and various other awareness initiatives within the India Offices. Be vigilant and highlight risks and drive their successful closure.
- Pune and Powai CCO India provide independent oversight and control over the compliance and regulatory risks. We conduct Compliance risk assessments to minimize potential risks to CS's reputation and the violation of laws or regulations.
- By attracting top talent and leveraging technology innovation, big data & analytics, we under-stand our customers’ needs and business objectives and ensure a comprehensive view on risks, issues, and remediation actions.

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**

We are looking for a hardworking and motivated individual with the following qualifications:

- University degree / Professional Degree with specialization in finance or banking would be an asset
- Experience of at least 8 to 10 years of operating in the compliance, operational risk, or audit department preferably in investment banking/ financial sector
- Outstanding knowledge of compliance policy framework and procedures including but not limited to personal account trading, outside business interests, anti-bribery, gifts & entertainment, data protection and regulatory landscape
- Proven ability to understand processes and activities across corporate functions (Risk, Finance, operations, Technology) as well as business divisions, and the inherent risks and control requirements
- Strong control mentality with prior experience in setting/testing controls
- Working knowledge of the regulatory framework, BFSI regulations is desired
- Familiarity with the financial services industry and offshoring services provided from India to global financial institutions will be an advantage
- Outstanding analytical and problem-solving skills
- Influencing skills in securing buy-in to recommendations and business benefits
- Consultative approach to business relationship management, proactively sharing “what works best” with others across the Peer Groups
- Good communication skills, with ability to articulate complex concepts simply and strong conflict management skills
- Disciplined and detailed in review approach and record retention
- Proven track record of improving/optimizing processes and implementing solutions for benefit of the organization
- Profi

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