Compliance Manager

Compliance Manager for Mumbai location

About the Role

The role involves comprehensive risk management, internal controls, compliance management, and post-merger integration to support the organization's strategic objectives.

Responsibilities

• Risk Management
• Based on past industry experience, ongoing experience of operating assets within the portfolio & DD reports, review the Risk Assessment presented by the team for each new investment being presented to the IC/Board.
• Highlight gaps, if any, on the risks and mitigation thereof.
• Support in implementation of the ERM framework.
• For the operating assets, maintain and update the risk register and be responsible for reporting the same to the Management and to the relevant risk committees at periodic intervals.
• Internal Controls
• From a good governance and best practices perspective, review various controls, and checks and balances in place, initiate new processes and practices, if required, and implement a process of review and audit (internal functional audits).
• Document policies, procedures & guidelines for various processes.
• Review the processes, policies, guidelines and practices in place and benchmark them with appropriate best practices.
• Ensure incorporation of internal/external audit findings, if any, into the processes and practices.
• Coordinating Internal audit with external professional firm.
• Identification of areas for process automation & Business Process Reengineering.
• Compliance Management
• Maintain a tracker for key compliances:
• statutory permits / consents / approvals;
• other statutory and internal compliances;
• business related insurance; etc.
• Ensure that each compliance, permit, has an owner and that they are valid at all times.
• Manage the compliance management tool and coordinate with service provider.
• Organize & coordinate periodic onsite assessment of statutory compliances across all investments.
• Post Merger Integration
• Maintain a CS tracker and tracking the timely closure.
• Take over relevant documents related to the function.
• Follow-up with the Seller for closure of agreed tasks related to function.
• Creating repository of take-over documents.

Qualifications

CA/MBA/LLB