Compliance Controller

5 days ago

Bangalore, India Natixis Services in India Full time

About the Organisation:

Natixis Corporate & Investment Banking (CIB) is the corporate and investment banking arm of Group BPCE, second largest financial institution in France. Natixis Global Services India (NGSI) is a wholly owned subsidiary of Natixis SA and is fully integrated into Natixis CIB.

NGSI is Natixis CIB APAC's innovation and technology hub and its center of expertise, delivering operational services (Global Financing Operations, Global Market Operations, Information Technology and other functions). NGSI supports the Natixis CIB Asia Pacific client experience strategy and ensures the agility of the APAC platform by focusing on innovative technological solutions to increase operational efficiencies, while building on its resiliency.

Through collaboration with Natixis Services in India, Natixis CIB Asia Pacific enhances its capabilities as a Lab to identify and implement emerging technology trends and innovative solutions.

Job Responsibilities

  • Contribute to the annual Risk Control Self-Assessment based on the second level control results.
  • Execute local and regional second line controls as determined in the annual Compliance Risk Assessment.
  • Scope second level assessment reviews and define the testing plan.
  • Analyze the process and the overall control framework in place to mitigate the compliance risk and identify any control weaknesses.
  • Assess the design and execution of existing controls in accordance with Bank standards and methodology to identify any weaknesses.
  • Track and verify the completion of corrective action plans agreed with stakeholders.
  • Provide regular updates of Control assessments to key stakeholders in APAC or in other relevant regions as required.
  • Ensure harmonization of the identification of risks, control checklists and performance of controls where possible whilst ensuring minimum standards are maintained throughout the region.
  • Collaborate with the Head Office Controls Team, Head Office and regional first level controls team and other regional Compliance Control functions.
  • Provide KPI, KRI and key results/key information for management reporting.
  • Maintain updated knowledge of the business line organization as well as its strategic developments and key projects.
  • Contribute to the review and update of the Control Checklist list methodology documents.
  • Identify possible use of data analytics and artificial intelligence in executing level 2 control missions.
  • Identify processes that can be offshored/streamlined under the guidelines given by the Head of Compliance Control Monitoring.
  • Maintain a detailed and updated working knowledge of key regulators within APAC.
  • Maintain a detailed and updated working knowledge on the existing Compliance policies framework, Compliance incidents and any key regulatory development at group and regional level.
  • Support Head of Compliance Controls on internal and regulatory projects and assist to review and implement policies and procedures.

Skills Required

Technical Knowledge

  • Atleast 12 of relevant experience (eg. Internal Audit, Monitoring and surveillance or other related areas)
  • Strong knowledge of regulations (SFC, HKMA, MAS rules and EU directives, etc.
  • Strong knowledge of Capital Markets & Investment Banking Operations/environment and associated products.
  • Data analytical skills with advanced tolls (i.e, Excel / Power BI/ Alteryx, etc)

General Competencies

  • Analytical and problem solving
  • Ability to work independently
  • Ability to constructively challenge
  • Strong written and verbal communication skills
  • Ability to manage multiple deliverables at the same time
  • A strong team player

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