Compliance Manager

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Join us at SVB and be part of bringing our clients' world-changing ideas to life. At SVB, we have the opportunity to grow and collectively make an impact by supporting the innovative clients and communities SVB serves. We pride ourselves in having both a diverse client roster and an equally diverse and inclusive organization. And we work diligently to encourage all with different ways of thinking, different ways of working, and especially those traditionally underrepresented in technology and financial services, to apply.

Summary/Objective

The role is an individual contributor role and actively involved to support managing India entity Compliance Program(s), ensuring alignment with the enterprise programs; this will include but not limited to holistic India legal entity compliance including Conduct Risk Compliance. The role will be responsible for Second Line oversight and effective challenge on First Line compliance activities with all relevant laws and regulations across the India entity and provide regular reporting and updates on the state of compliance.

The role will directly work for the Director Compliance, India and engage with global stakeholders to establish effective collaboration and communicate effectively across a broad set of stakeholders. The role will be expected to be responsive to changes in the business environment.

Functional:

• Demonstrate in-depth knowledge about Compliance and sub-functions, processes and the skill sets required to support best in class performance.
• Demonstrate working knowledge about US banking regulations and India regulations impacting the India legal entity.
• Conceptualize, and support the implementation of compliance program(s) at India entity to ensure risks are well managed.
• Demonstrate SME knowledge to monitor, perform oversight and effectively challenge First Line activities.
• Having the mindset and inclination to do research about compliance talent capabilities and what our peer bank GCCs are doing to support their global organization.
• Work with Strategy team to source market data on compliance capabilities and develop whitepapers, presentations, and roadmaps to present to the CCO leadership.
• Communicate to stakeholders clear and concise information to support their decision making and to help garner agreement and support their strategic priorities.
• Establish all necessary compliance program documentations for evidence.
• Support monthly business reviews of the work being performed by the team.
• Establish and monitor indicators of compliance risk in partnership with the First Line and provide an overall assessment of applicable risk profiles and alignment with FCB’s RAS.
• Support in establishing relevant Compliance Policy and related standards, ensuring alignment with corporate policies, FCB’s RAS and compliance with legal and regulatory requirements.
• Advise Business Units concerning regulatory requirements and provide effective challenges for activities that may fall outside of established risk appetite.
• Support regulatory interpretations, change implementation, and compliance risk assessments.
• Evaluate business activities, systems, and controls to prevent and detect compliance issues.

Behavioral:

• Strong interpersonal skills, with evidence of working in a collaborative environment across large, complex organizations, including effective influencing skills, and a proactive and 'no surprises' approach in communicating issues/requests.
• Broad knowledge of applicable laws, rules, regulations, supervisory guidance, and expectations for large financial institutions (LFIs).

Skills

• Excellent written and spoken communication skills.
• Self-driven and does not require constant supervision or handholding to manage expectations.
• Strategic planning skills supported by analytical skills.
• Planning and execution skills.
• Stakeholder management skills, e.g., effective forward-looking planning, communication, and delivery of services.
• Able to effectively manage tasks as agreed and delegate work among team members.
• Efficient and well-organized workflow and process design skills.
• Outstanding attention to detail, accuracy of information.

Required Education and Experience

Education:

• Bachelor’s degree with 12 to 15 years of relevant experience
• Good knowledge of MS Office

Experience:

• Compliance risk management experience in financial services.
• Experience in stakeholders.

Certifications

Relevant Compliance Risk Management Certifications

Travel

Travel may be occasionally required- domestically and internationally.

Physical Demands

The employee must have the ability to use a computer keyboard, mouse, calculator, copier/fax machine, scanner, and telephone. While performing the duties of this job, the employee is regularly required to talk and hear.  Employee must have close visual acuity to perform an activity such as: reviewing and analyzing information; transcribing; and/or viewing a computer screen. Employee may be required to make quick decisions as to when to escalate or directly address a situation, as well as handle the stress of such situations.  The work environment is indoors with most of the time spent sitting at a desk.

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Equal Employment Opportunity

Silicon Valley Bank is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices.