Senior lead compliance

5 days ago

Bengaluru, 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, Info Sec, 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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