Head - Training and Monitoring - Compliance
We have been retained by our client, a MNC bank to identify a "Head - Training and Monitoring - Compliance" to be based at Mumbai.
The role:
• To handle 60% of monitoring and 40% of Training on policies and procedures.
• To ensure all relevant compliance policies and procedures are rolled out and embedded across the business.
• To support the business in implementation of a risk-based approach to compliance.
• To assist business in their development of compliance monitoring and review programmes, and ensure robust delivery against policy.
Monitoring:
• To drive the application of the EM compliance methodology for the monitoring and reporting of compliance risks and issues.
• To establish and ensure adherence to the compliance monitoring coverage plan according to the risk based approach within country.
• To manage the monitoring activities for ensuring compliance with Group policies (owned by compliance) and local regulatory requirements.
• To produce monitoring testing papers and reports demonstrating the extent and scope of monitoring, and findings on completion of the country monitoring reviews.
• To agree action plan/s in order to address the review findings with business.
• To put in place an effective tracking mechanism of all the reviews and respective findings.
• To conduct follow-up reviews on the progress made to address material issues.
• To provide guidance and support to countries on compliance monitoring related activities and queries.
• To perform ad hoc compliance reviews on specific matters at the request of the EM compliance functions or country management.
Training on policies and procedures:
• To drive all compliance related training projects or initiatives to fulfillment at an acceptable level regarding content and quality.
• To implement AML/KYC training programmes within country of responsibility.
• To monitor and report management information regarding AML/KYC and other compliance training, awareness and accreditation in country.
• To monitor and assess the effectiveness of AML/KYC training delivered to staff and to identify any training gaps and make recommendation for remediation.
• To develop localized compliance training as required which are aligned to group and local training standards.
• To retain evidence that training has been received by each member of staff.
• To ensure that ongoing awareness raising information is provided to staff, including successes within Barclays, new typologies and cases, and changes in the legal or regulatory obligations.
• To give training to the trainers or volunteer, trainers are responsible for delivering training on KYC/AML and any other Compliance training initiatives.
• To maintain robust and update centre staff training records.
• To ensure that the library of training tests or questions and answer keys is maintained securely and there is a robust process for ensuring that questions or tests completed by staff are not repetitive but are selected randomly.
Interested candidates should be Graduates with 5 - 8 years of experience in compliance, preferably with an international exposure and should have knowledge of:
• Current and anticipated UK, European and other countries' requirements and supervisory expectations.
• Practice in policy setting and roll out.
• In depth knowledge of functional areas and products and services offered.
• Ability to communicate effectively, orally and in writing, with senior internal and external audiences – to educate, persuade, negotiate, gain decisions, enforce.
• Ability to influence senior management.
• Ability to take initiative and work with minimum supervision but ensuring, at the same time, that the line reports are kept fully informed at all times.
• Ability to consider issues from a range of angles and propose creative solutions that assist the business in achieving its goals in a safe, compliant and controlled manner.
Interested candidates meeting with the above requirements should send their resumes to: resumes@csplsearch.com in word format only.
For more exciting career opportunities, visit us at http://www.csplsearch.com
Contact: Anil Matal
Corporate Search & Placements Pvt. Ltd.
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