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Jhaveri Securities
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Compliance Manager

Compliance Manager

Jhaveri Securities

5 years

3 - 6 Lacs

Vadodara

Posted:1 week ago| Platform: GlassDoor logo

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Skills Required

compliance regulations design risk strategies monitoring testing effectiveness audits report management reports audit finance

Work Mode

On-site

Job Type

Part Time

Job Description

Stay abreast of changes in relevant laws, regulations, and industry standards.
Design and implement policies and procedures to ensure compliance with applicable regulatory requirements with related circular/ Guidelines.
Risk Assessment:
Conduct regular risk assessments to identify and evaluate compliance risks of AP branches.
Develop strategies to mitigate and manage identified non compliancerisks effectively Monitoring and Testing:
Establish a robust monitoring and testing checklist/ SOP to assess the effectiveness of the compliance of all departments.
Conduct periodic compliance audits and investigations as needed time to time & report to management. Reporting:
Prepare and submit timely and accurate compliance reports to senior management and regulatory authorities.
Communicate compliance issues, developments, and recommendations to the executive team and relevant stakeholders.
Ensure to submit all audit reports/ alert& reply to the authorities/ auditors within deadline. Collaboration:
Collaborate with other departments, including Legal, Risk Management, and Internal Audit, to ensure a coordinated/ smooth approach to compliance.
Serve as a liaison between the company and regulatory agencies/ auditors. Incident Response:
Develop and implement procedures for handling compliance violations and incidents.
Oversee the investigation and resolution of compliance-related matters
Handling customer grievance, review compliance calendar on regular basis.

Department

Compliance

Locations

Vadodara

Qualfication

Master's degree in Law, Business, Finance, or a re

Experience

5+ Year

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