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AD/Director - UK Business Compliance - Financial Services

Job Code:
  • Banking & Finance
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Job Details

You shall be responsible for heading the Business Risk & Compliance function for India and the main responsibilities of the role shall includeManaging and developing the India Compliance team to ensure the team is effective, fully integrated with the broader Compliance team and efficiently utilizedProviding and overseeing ongoing training programmes for business partners ensuring that they are conversant with, and kept up to date with, regulatory requirements and changeEnsuring regulatory issues are escalated and tracked appropriately and on a timely basis, ensuring associated actions are implemented effectivelyManaging communication of key issues throughout the local Senior Executive team, Compliance team and business areas, and across sites and functions as necessaryMaintaining an appropriate level of technical understanding of relevant UK and global financial services regulation and keep abreast of relevant regulatory changes and developmentsIntegrating the Business Compliance function with local and UK based business partners to ensure on-going compliance of their systems/procedures/processes, and provide general compliance support and advisory servicesManaging interaction and engagement with the India and UK Senior Executive team, promoting the basis for an appropriate compliance culture from a top down perspective and advising on the maintenance of an overall robust and effective compliance frameworkThe Successful Applicant14+ years of compliance experience in a Financial Services setup along with solid understanding of UK & Indian regulations is a mustDetailed knowledge of the provision of compliance services within the financial services sectorExperience of UK Financial Conduct Authority (FCA) Conduct of Business regulations is highly desirable for this roleProven knowledge and understanding of compliance function and regulatory requirements underlying Central Compliance controls, such as regulations on anti-bribery and corruption, licensing and registration, personal account dealing, etcKnowledge of UK retail investment products and services and the UK financial services marketplace5+ years of managing people, business relationships, interacting with regulators, Auditors etcExcellent planning, analysis organization and judgment skills and ability to apply these in a fast-paced environment
Degree: MBA/ PGDM

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 14-19


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