Compliance Manager

Position: Compliance Manager

Exp: 8 -10 Years

Location: Navi Mumbai

Major Responsibilities /Duties

1 Help raise awareness of compliance and act as a custodian of:

• The Dover code of business conduct and ethics; and
• All policies, processes and tools developed by the function aimed at mitigating risks;
• Work closely with the business leaders to implement appropriate new compliance procedures;

2 Understand the compliance risks (CRA, Compliance Risk Assessment )in the various areas of operation within the region:

• Assess that compliance risks are identified, prioritized and mitigated (including promoting awareness of legal requirements) as part of the organization’s regular risk management processes;
• Inform the Global Director of Compliance , DFS General Counsel and regional Finance Director about these risks; and
• Work alongside the relevant parties to mitigate identified risks, including developing of additional compliance policies and processes specific to the business, if needed;

3 Help on internal control review with the guidance from regional Finance Director and controller

• Support on internal control review and
• Work with the relevant parties to identify the gap, drive the mitigation control and follow up on root cause analysis

4 Help promote and assess compliance with DFS employees as well as with 3rd parties:

• Develop and provide training on all areas of compliance related laws and polices but in particular the Dover’s anti-corruption polices. Identify areas of need for additional training;
• Monitor understanding and completion of compliance focused courses and training, including, but not limited to, the code of business conduct and ethics and the anti-bribery and corruption e-learnings

5 Drive third party relationship management processes (TPG).

• Conduct due diligence and background checks of any agents, distributors, or other third party intermediaries that are used by DFS in the region;
• Provide training to third parties as may be required.

6 Encourage employees, leaders and 3rd parties to “Speak Up” about compliance issues using any means available, including line management, the Compliance function, Legal function, finance function ,the human resources function, the Dover hotline.

7 Lead or assist in investigations of compliance related issues in region or other DFS locations, as may be required

8 Familiar with basic trade knowledge , support global and local trade compliance project including but not limited to VC, import and export manual ;

9 Support on any required liaison with outside counsel/ firms;

10 Support on global projects, as may be required.