senior associate compliance in chennai

job type
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job details

chennai, tamil nadu
job category
Banking & finance
job type
2 To 5
reference number
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job description

?Roles and responsibilities
? Being a representative in the Operational Risk Unit, functioning inside his department / activity,
ensure the implementation of both institutional and hierarchical directives in order to ensure a
complete coverage of the different operational risks.
? Contribute to the completion of Global Control Plan and other Risk framework documents to the
satisfaction of the Group requirements.
? Work closely with Units in GSO to ensure that the defined process controls are working effectively
and that any anomaly is escalated to Senior Manager, ORPC, on time.
? Ensure that the incident management framework is handled effectively without any open issues.
? Follow-up with the Units for any information or documentation deficiencies to meet local
? Conduct root cause analysis (RCA) for all incidents and complete the preventive measures capture
and implementation within the defined time lines.
? Compliance training: support deployment of BPSS compulsory training programs in the location and
implement general compliance awareness training. Act as a link to other entities compliance
networks (oversight of SLAs if required).
? Maintain local compliance function mission statement Proactively work on building compliance
function strategy able to response to organizational and regulatory changes
? Support GSO Compliance Manager in the varied tasks performed on behalf of BPSS Corporate &
Territory Compliance functions.
? Implementing BPSS Corporate Compliance guidelines of monitoring and control of the personal
dealing by taking into account the specificities and regulations applicable to the Territory.
? Ensuring all relevant external activities by employees reported,
? Implementing and ensuring gift policy
? Implementing and ensuring insider trading avoidance policy
? Maintain whistleblowing process and manage reported alerts
? Watch over sensitive employees framework
? Contributing to the definition and implementation of appropriate measures to manage reputational
? Ensuring that the local entity Compliance Head is updated of all material compliance-related subjects
that should rightfully be reported
? Ensuring all necessary compliance related reporting is performed, including the periodical Control
? Co-ordinating adequate and effective compliance Risk Assessment activities and appropriate
reporting to BPSS Corporate Compliance and to regulators;
? Ensure proper documentation in compliance related areas is maintained
? Ensure periodical reporting to management board on compliance topics
? Ensure input to ICC is provided
? Maintain tracking log of compliance projects and activities/priorities
? Reporting to Spoke compliance as required (as agreed in SLA, as per BPSS outsourcing policy,
control plan testing results, etc.

?good pay masters

Client Introduction
?Leading Finance company in India




?Knowledge and skills required
? Prior related industry and operations experience, preferably in
? Securities/Custodian Operations of a Multi-National Banking company required.
? Strong analytical skills, detail orientation, service commitment, and solid organizational and
interpersonal skills.
? Ability to work independently, as well as in a team environment, prioritizes multiple tasks, and meets
strict deadlines.
? Proficient in Microsoft Office Applications and strong MS-Word & Excel skills required.
? To be based in Chennai and prepared to travel as required.
? Identify Operational Risk Areas within the Client Business Revenue Process.
? Identify and develop succession plan.