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Deputy Head of Compliance
2 weeks ago
Job Responsibilities:
This role encompasses both leadership and operation components. The candidate will be working with the Indian Compliance colleagues on the operation level while leading the Indian Compliance practice and is also part of the Compliance function in the Asia Pacific (APAC) region. The primary responsibility is vested in India and to ensure that all activities conducted by Apex Indian practices adhere to local regulatory and statutory requirements, as well as complying with Apex Groups policies. Indian Compliance is also our regional support hub providing compliance reporting and coordination support to the Compliance teams in APAC.
Insofar as the local compliance coverage is concerned, this will normally include tasks such as drafting, updating & implementing compliance policies, programme and procedures and the monitoring thereof, conduct monitoring and testing of the business operations on regular basis, completing internal and external compliance reports, and fostering compliance awareness throughout the organization in alignment with Apexs global standards and principles.
General rresponsibilities include, but are not limited to performing and coordinating a variety of compliance duties and tasks including:
- Ensure that Apex Indian practices are fully compliant with relevant laws and regulations.
- Support management and Business in managing regulatory risks, including AML and terrorist financing. Advise on AML & CDD due diligence, PEP, and sanction checks for client and investor files and related matters as well as FATCA, CRS queries from the operation teams.
- Conduct local regulatory analysis and assess & advise on the impact and implications of the proposed legislative and regulatory changes in relation to Apexs practices.
- Regular review of and update the Apex Indian Compliance Monitoring Programme and controls to ensure they stay current and align with existing statutory and regulatory obligations, requirements and development. This includes monitoring their effectiveness and enhancing controls and procedures as needed.
- Implement and/or follow up on the recommendations made by internal or external audits and/or the regulators, regarding compliance risks/issues and the remediations thereafter, if any.
- Act as the designated Money Laundering Reporting Officer and Data Protection Officer for Apex India as appropriate. Be the main point of contact with the local regulatory bodies and financial intelligence units.
- Report suspicious activity to regulatory authorities in consultation with the Regional Compliance Leadership. Maintain and refresh local compliance procedures such as SAR/STR, complaints handling procedures etc., and ensure that other local policies and procedures are established and followed accordingly.
- Keep abreast of local legal and regulatory requirements and ensure adequate local compliance awareness and training, in line with Apexs Groups and current legal and regulatory requirements.
- Support the Board, Local and Group Compliance Reporting as appropriate.
- Act and be recognized as a leader in effectively and efficiently managing the Indian Compliance team and while delivering the Indian compliance support while managing stakeholders with maturity and leadership whereas escalate relevant and appropriate matters to Regional Compliance Leadership as appropriate.
- Attend to other tasks & project as assigned.
Regional Tasks:
- Work together with the Indian Compliance team to render compliance reporting support to other APAC jurisdictions and attending to other regional tasks as appropriate.
- Assist in implementing and enforcing the Apex Group Compliance framework and requirements in APAC and work with stakeholders regionally and globally on relevant matters.
- Communicating and coordinating with other Compliance professionals in the APAC region on various tasks in effective and efficient manner.
- Identify workflow and logistic improvement opportunities.
Requirements:
- 10+ years solid experience in Compliance with reference to Apex Indian businesses.
- Recognized compliance qualification (or equivalent) is preferred. ACAMS certification and/or other professional compliance qualification would be an added advantage.
- Having solid experience dealing with regulators like SIBI and FBI would be advantageous.
- Fluency in both written and spoken English with strong communication skills would be essential. This role requires day to day communication with English speakers and ppossessing excellent communication efficiency and skill to effectively communicate, engage, and establish relationships both internally within the organization and externally with stakeholders will be a key success factor.
- In-depth understanding of financial services regulation and AML guidelines and preferably relevant to Apexs businesses.
- Reliable, adaptable, motivated, and driven with an ability to work under pressure to meet tight deadlines.
- Proactive achiever who can drive achievements and results.
- Organized and self-disciplined. Energetic with excellent problem-solving skills and can also think out of the box in terms of routine and non-routine tasks and issues. Organizational and prioritization skills are essential.
- Ability to work independently as well as working as a team member. Also able to guide and supervise junior.
- Strong PC skills.
What you will get in return:
- A genuinely unique opportunity to be part of a fast-growing large global business.
- Room to grow for Head Compliance role.
- Competitive remuneration commensurate with skills and experience.
- Training and development opportunities.
