Vice President – Compliance Advisory – Global Markets Treasury (10-15 yrs)

  • Full Time
  • Mumbai
  • Full Time
  • Mumbai

Principal Responsibilities

The responsibilities of the VP Compliance Advisory – CMB & GBM India are to:

– Primarily to support Global Markets Advisory, to maintain an effective control framework and to ensure compliance with all relevant external laws & regulations, internal codes and policies and good market practices.

– Articulate the Regulatory Compliance and Financial Crime risks for Global Markets.

– Provide advisory services to HBAP INM Global Markets in order to ensure clear understanding of compliance risk exposure with respect to clients, transactions and products.

– Manage the relationship with relevant regulators on behalf of HBAP INM Global Markets.

– Be responsible for second line governance of Regulatory Compliance and Financial Crime risks exposures, providing analysis, reporting and governance to HBAP INM Global Markets that is independent of the first line of defence, thereby maintaining an objective assessment of risk exposure.

– To exercise risk steward challenge, act as independent trusted advisory in governance forums, issue management, fostering a compliance culture and optimizing relations with risk owners and control owners.

– Assist the senior management of HBAP INM Global Markets, the leadership of the Compliance function, and other colleagues on all material compliance related matters.

– Represents the Compliance agenda up to the highest levels of the Groups governance, including being an attendee (as required) at the HBAP INM Global Markets governance forums (and related sub-committees) to report on progress and issues in relation to the operational effectiveness of policies, processes, systems and controls in countering Regulatory Compliance and Financial Crime risks.

– Support Head of Compliance Advisory CMB and GBM in establishing guiding principles and strategic operational objectives, owning budgeting and managing costs, headcount and resources to ensure that the teams are fit for purpose and that the delivery of its critical services to the Group is both effective and cost-efficient.

Education Qualifications / Certifications and Requirements:

A legal or formal accountancy qualification or professional background in a relevant risk or audit discipline.


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