Professional diploma or qualifications in Compliance and/or Audit (preferred).
E.g. CAMS, CFE, CIA, CISA or related Certifications
Technical:
Fair knowledge of Compliance risks in the global banking environment.
This may include the risks related to
– Anti-Money Laundering, Terrorist financing, Embargos & Sanctions (OFAC)
– KYC and client due diligence activities
– Laws and regulations related to Anti-Bribery and Corruption
– Laws and regulations related to Market Integrity and practices such as Market abuse, insider trading, front running, trade surveillance and monitoring, E.g., DFA, Volcker’s, EMIR
– MiFID, FCA CASS and other applicable client protection laws and regulations
– GDPR and other client protection laws and regulations
– Prevention of tax evasion and related laws and regulations. E.g. FATCA, CRS, etc
Functional:
Fair understanding of Risk and control assurance activities which may include audit or control testing experience.
Autonomous in delivering the assigned tasks. Good appreciation of contemporary risk methodologies and practices.
Prior experience in performing testing reviews, discussing and agreeing key issues with senior stakeholders
Knowing French can be an advantage, although not a necessity.
Experience of working on multi location regional/global reviews.
Good stakeholder management skills which will include both internal and external stakeholders.
Spice Group>spice Money Limited>banking & Payments>clcm>care>care – Tech Support India>north>uttar Pradesh>uttar Pradesh>gautam Buddh Nagar>noida Required Experience 3 – 6 Years...
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