Senior Manager - Compliance and Risk

Working in the Compliance and Risk Team, C&R Manager will be working alongside the Head -C&R to ensure the integrity of the day-to-day operations of a wide range of Compliance processes being delivered from the service centre. This is a generalist role where C&R Manager would be expected to get involved with all areas of the compliance and risk function. 

Below are the areas of C&R Function in Mumbai

• Corporate Due Diligence
• Sanctions & PEP Screening
• Transaction Monitoring
• Suspicious Activity Reporting
• Fraud Investigation

Key accountabilities

• Assist in managing the end-to-end C&R services for the Mumbai Shared Services Centre
• Monitor and assign tasks
• Allocate appropriate levels of resource & support the allocation of team resource to meet business demand
• Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
• Direct the internal investigation of compliance issues
• Identify compliance issues that require follow-up or investigation
• Disseminate written policies and procedures and training related to compliance activities
• Track and report on progress to relevant parties including managing and escalating any issues and scope changes (progress/risks/issues)
• Mitigate service delivery risks
• Proactively contribute to on-going development and process improvements
• Assist in the handling of tasks received from inception to resolution as and when required.
• Monitor compliance systems to ensure their effectiveness.
• Lead, manage and supervise staff, including regular progress reviews and plans for improvement
• Assist or lead C&R process improvements to ensure the performance of services.
• Prepare management reports (MIS) regarding compliance operations and progress.
• Make appropriate recommendation supported by robust evidence a documented rationale to Sign Off 
• To contribute to and carry out compliance and operational projects as required. 
• To deputise for the Head-C&R in his absence. 
• Build good working relationships with the wider C&R team and partners.

Experience and personal qualities

• Previous experience in Compliance & Risk of shared service implementation
• At more than 9 -10 years of experience including more than 8 years Subject Matter Expertise in Compliance & Risk domain covering Due Diligence, Sanction Screening, Transaction Monitoring, Suspicious Activity Reporting & Fraud Investigation would be advantageous
• Knowledge on FATF guidelines, Sanctions, Scenarios and red flags related to AML, global AML regulatory framework
• AML certifications like – CAMS, CFCS, CFE, ICA, etc – not mandatory however would be advantageous.
• Excellent communication skills in English – both written and verbal
• The ability to manage across multiple time zones within a fast-paced and diverse cultural environment
• Proficient in Microsoft Office
• Good hands-on experience with reporting
• A proven track record of achieving results
• Demonstrated ability to pro-actively report and present to Senior Management
• Strong creative problem solving and analytical thinking
• Flexibility and responsive to changing situations & adaptable
• Excellent time management skills and the ability work autonomously
• Ability to lead and manage a team.
• Problem-solving and decision-making abilities
• Analytical skills and a good eye for detail
• Ability to deal with customers and employees at all levels within the organisation