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Chief Compliance Officer

5 months ago

Mumbai, India Société Générale Assurances Full time

Chief Compliance Officer (Director), Societe Generale Bank India (Mumbai)

Permanent contract|Mumbai|Compliance

Chief Compliance Officer (Director), Societe Generale Bank India (Mumbai)

Mumbai, India Permanent contract Compliance

Responsibilities

Job Summary :

• To ensure that SG India Bank complies with all banking and financial regulations and gives a holistic view of non-compliance risks, while relying on the analyses produced by the Risk Management Function and expert transversal functions
• To define and maintain the consistency of compliance risk and control framework in reference to SG code and relevant local regulations for the portfolio of activities within his/her perimeter and for coordinating the framework aimed at preventing, identifying, assessing and controlling reputational risk within its remit.
• To ensure all non-compliance risks are identified and that SG India Bank respects all regulatory and supervisory expectations,
• To support the senior management, the business lines and stakeholders in India in the management of compliance risks and act as an adviser for new products, projects and initiatives undertaken by the Bank in India
• To support Société Générale Securities India Ltd on Group/Regional Compliance topics within the mutualization framework

Main Responsibilities :

• Implementing, steering and adapting an adequate compliance framework on his/her perimeter, on all non-compliance risks as defined in the SG Code, including in terms of training and on Culture and Conduct aspects
• Ensuring that local regulations are complied with in addition to the Group requirements; addressing request for exemption in case local regulations are more restrictive than Group rules
• Implementing an adequate monitoring, surveillance and controls framework to prevent and/or detect compliance and reputational risks
• Performing the 2nd level of controls on the 1st level of controls
• Advising the management of SG India Bank and the respective BU/SU on a daily basis on compliance topics; in particular, he/she provides opinion on the non-compliance and reputational risks linked to new products or services as part of the New Product (and Services) process in place ; 
• Ensuring the oversight of the Compliance program for his/her perimeter. In this exercise, the local CCO can rely, in addition to his local teams, on the support of CPLE central teams of the pole to which he/she is attached. In this role:
o he performs the regular non-compliance risk assessment
o he identifies, evaluates and escalates compliance incidents on his/her perimeter to both local and Group committees as per the defined governance
o he advises and informs the General Management / Board of his entity on non-compliance risks on his perimeter
• Recruiting and managing the compliance team of SG India Bank and animating the compliance filière on the business of his/her perimeter through a dedicated comitology and training / awareness actions;
• Ensuring an adequate level of resources, both from a qualitative and quantitative standpoint, necessary to the good functioning of the local compliance program 
• Responsible for the day-to-day relationship with the local regulatory authorities, the escalation of the correspondence with these authorities to local and Group senior management and the production and integrity of his/her entity’s regulatory reporting
• To identify SG India Bank’s obligations under the regulatory system and any changes to those. 
• He/she follows-up and implements the audit, inspection or remediation actions on compliance topics. 
• He/ she ensures the proper treatment of alerts related to anti-money laundering, terrorism financing and market abuse and the associated declarations. 
• He/she writes or is responsible for the quality of the regulatory reports linked to compliance. 
• Primary adviser on Compliance topics to local and regional stakeholders
• Review and adapt Group Compliance Policies and Procedures to the local context and implement the same
• Implement the SG India Compliance Governance Framework and related policies and procedures
• Representing the department in organizational committees and deliberations.
• To carry out periodic Compliance Risk Assessment(s) and prepare and conduct the annual Compliance Plan and Programme.
• Keep abreast of any change and trends in the domestic banking laws & regulations and, other regulatory guidelines. 
• To ensure that compliance deficiencies / customer complaints / regulatory enquiries are judiciously investigated, reviewed and rectified within prescribed time frames.
• Implement, monitor and review of AML-CFT/ KYC/ S&E program for Société Générale India Bank; including investigation and reporting of suspicious transactions as an AMLO 
• Supervise the conduct of compliance training program on general and financial crime compliance topics
• To co-ordinate with Reserve Bank of India during the Risk Based Supervision Exercise and thereafter co-ordinating responses to the findings, if any. 
• To act as a Liaison with local regulators, and as a single point of contact for the Reserve Bank of India on Compliance issues
• Any other jobs assigned by the Management.

Profile required

Academic Background (degree and major): 

• Graduate / Master’s Degree in Commerce and 
• Professional Qualifications viz. ACS or ACA or GARP or MBA

Working Experience / Technical Skills & Know how: Overall experience of at least 15 years in the banking and financial services, out of which minimum 5 years shall be in the Audit / Finance / Compliance / Legal / Risk Management functions

Skills & Competencies:

• Sound knowledge of banking products and Indian laws and regulations;
• Significant knowledge of the regulatory environment, risk and legal activities in the financial sector or in a regulatory/supervisory control body; 
• Significant knowledge of control techniques
• Good knowledge of compliance risk management and analysis
• Knowledge of the banking, financing and insurance environment; 
• Strong leadership and communication skills
• Ability to manage conflicts
• Managerial experience with high risk awareness
• Proven experience in dealing with highly sensitive and confidential material
• Ability to discuss with the business (adopting an independent partner posture, while understanding concerns), of having convictions and keeping them, and ability to explain its positions 
• Ability to work under pressure, attention to details, and perseverance in follow up work are all valuable attributes
• Managing in a matrix environment, transversality, federation skills, ability to collaborate, influencing skills
• Ability to organise, structure, engage and make a team grow
• Ability to provide professional and expert decision-making support and collaborative style to engage people at all levels
• Strong people management

Language Skills:

• Good command of English is mandatory (written and spoken), 
• Knowledge of Hindi and French, are desirable