Novo | Senior Lead Compliance

3 days ago

bangalore, India Novo Full time

About the Role:


Compliance :

  • Assist in developing compliance policies, procedures and job aids
  • Assist in the delivery of supporting documents to banking partners and law enforcement agencies who provide subpoenas addressed to Novo
  • Coordination with internal departments (if required) to gather subpoena documents
  • Develop responses to BBB & Regulatory complaints received, as per procedure
  • Develop debrief documents in alignment with compliance issues raised by other departments and internally within the compliance team
  • Triage and execute raised compliance issues/enhancements in alignment with regulation, internal policies and procedures
  • Perform necessary research to establish an in depth understanding of various US regulations and upcoming changes to determine implication to Novo compliance operations/program
  • Monthly reporting / Ad Hoc project(s) support


Third Party Risk Management

  • Handling end-to-end vendor/partner onboarding requests as per TPRM procedure for US and India vendors/partners
  • New Vendor/Partner Onboarding
  • Non Disclosure Agreement (NDAs)
  • Renewals, Amendment to existing contracts, Terminations

As part of procurement review, perform due diligence checks on vendors/partners to :

  • Review the vendor/partner request and work with the requester
  • Perform Vendor Risk Assessment to assess the criticality level and assign risk rating
  • Perform OFAC and negative media screening
  • Obtain required documents from the vendor/partner
  • Work closely with the requester and vendor/partner to expedite the process
  • Perform initial assessment and review of vendor/partner contracts/agreements prior to escalation for Legal and Finance review
  • Establish documentation to summarize TPRM profiles for active vendors/partners
  • Work with Finance, Legal & Infosec teams for required approvals, scheduling and leading meetings as necessary
  • Develop 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/partners
  • Perform vendor risk assessments & screening (OFAC / negative media)
  • Willing to contribute in the new vendor selection process if required
  • Manage day to day operational activities by managing daily request, periodic reporting, trackers and applicable third party risk management tools
  • Work with Senior Manager of Compliance Strategy to identify and implement enhancement opportunities to TPRM compliance program and applicable systems
  • Develop 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 plus
  • 6-8 years experience working in the financial services/banking industry
  • Background working in U.S. markets, in a fintech/tech company, or both
  • Comfortable working in the US Shift
  • Flexible to contribute as per business requirements
  • Work on process improvements, conducting training and develop standard operating procedures
  • High attention to detail, ability to oversee critical analytics projects from end to end independently
  • Ability to think outside the box, work with limited data, and find solutions to unorthodox problems
  • Excellent written and verbal communication skills, which can be leveraged for senior leadership and external party correspondence
  • Excellent reading comprehension skills. Ability to understand regulatory and legal language is a plus
  • Keen ability to identify potential unforeseen issues and escalate to management with recommendation
  • High drive of execution, bring tasks and projects to completion with efficiency
  • Ability 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 structure
  • An inquisitive and highly detailed oriented work ethic

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