Compliance Manager

Note:*ONLY SUITABLE/RELEVANT CANDIDATES SHOULD APPLY*

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Role Overview:

The Manager – Compliance is responsible for ensuring that the organization adheres to all applicable statutory, regulatory, legal, and internal compliance requirements. The role involves developing compliance frameworks, monitoring adherence, managing audits, and mitigating compliance risks. The position supports strong governance, ethical practices, and regulatory discipline across the organization through structured processes and proactive engagement.

Objectives and Key Results:

1. Regulatory Compliance Management:

1 a. Objective:

• Ensure compliance with all applicable central, state, and local laws and statutory requirements.
• Maintain updated records of all statutory filings, licenses, approvals, and registrations.
• Ensure timely submission of statutory returns, renewals, and regulatory reports.
• Monitor regulatory changes and communicate compliance requirements to stakeholders.

1 b. Key Results:

• Achieve 100% on-time statutory filings and renewals without penalties.
• Maintain zero critical non-compliance observations from regulatory authorities.
• Prevent legal notices, fines, or adverse remarks due to compliance lapses.
• Keep all statutory records and documents audit-ready at all times.

2. Internal Policy Compliance & Governance

2 a. Objective:

• Ensure consistent adherence to internal policies, SOPs, codes of conduct, and governance frameworks.
• Strengthen internal governance to promote transparency, accountability, and ethical practices.
• Identify gaps in policies and controls and align them with regulatory requirements.
• Ensure effective communication and uniform implementation of policies across all functions.

2 b. Key Results:

• Achieve high levels of internal policy compliance with minimal deviations across departments.
• Review, update, and reissue internal policies within defined timelines.
• Reduce policy violations through preventive monitoring and timely corrective actions.
• Ensure employees acknowledge policy updates with proper records maintained.

3. Audit Management & Coordination

3 a. Objective:

• Plan and coordinate internal, statutory, and external audits to ensure timely and structured execution.
• Ensure audit readiness by maintaining accurate and timely availability of records and documentation.
• Act as the central coordination point to enable smooth and transparent audit interactions.
• Track audit observations and drive corrective and preventive actions to closure.

3 b. Key Results:

• Ensure 100% closure of audit observations within agreed timelines.
• Reduce repeat audit observations through effective root cause analysis and control improvements.
• Complete audits without delays, escalations, or documentation gaps.
• Maintain well-organized audit trails and supporting evidence for easy retrieval.

4. Risk Identification & Compliance Monitoring

4 a. Objective:

• Identify compliance risks across operations, processes, and functional areas.
• Conduct periodic compliance risk assessments and prioritize high-risk areas.
• Implement monitoring mechanisms to detect and prevent compliance failures.
• Support management with clear compliance risk mitigation plans.

4 b. Key Results:

• Maintain an updated compliance risk register with clear ownership and actions.
• Implement risk mitigation actions within defined timelines.
• Reduce compliance-related incidents and regulatory escalations year-on-year.
• Review and report high-risk compliance areas to management regularly.

5. Legal & Statutory Coordination

5 a. Objective:

• Coordinate with legal advisors, consultants, and regulatory authorities on compliance matters.
• Manage statutory notices, inspections, and regulatory correspondence in a timely manner.
• Provide compliance inputs for contracts and legal documentation to meet statutory requirements.
• Ensure alignment between legal obligations and internal compliance practices.

5 b. Key Results:

• Respond to all statutory notices and regulatory communications within prescribed timelines.
• Avoid penalties, legal disputes, or adverse regulatory outcomes through proactive compliance.
• Maintain complete and traceable records of all legal and statutory communications.
• Support smooth completion of inspections and legal reviews with authorities.

6. Training, Awareness & Culture Building

6 a. Objective:

• Promote a strong compliance and ethical culture across the organization.
• Create awareness on laws, regulations, and internal compliance requirements.
• Develop and deliver effective compliance training programs for employees.
• Encourage proactive reporting of compliance risks and concerns.

6 b. Key Results:

• Conduct regular compliance training and awareness sessions as planned.
• Achieve at least 95% participation in mandatory compliance programs.
• Improve compliance awareness through assessments and feedback.
• Ensure timely reporting and resolution of compliance-related issues.

7. Documentation & Reporting

7 a. Objective:

• Maintain accurate, complete, and structured compliance documentation.
• Ensure documentation is standardized and centrally accessible.
• Prepare periodic compliance status reports for management review.
• Enable data-driven compliance monitoring and decision-making.

7 b. Key Results:

• Submit monthly and quarterly compliance reports within defined timelines.
• Maintain error-free and audit-ready compliance records across departments.
• Provide clear compliance dashboards highlighting risks and gaps.
• Ensure compliance data is traceable and easily retrievable for audits.

8. Continuous Improvement & Regulatory Updates

8 a. Objective:

• Track amendments and updates in applicable laws and regulations.
• Continuously improve compliance systems, tools, and processes.
• Benchmark best practices and adopt suitable compliance improvements.
• Provide proactive compliance recommendations to management.

8 b. Key Results:

• Implement regulatory changes within defined timelines with minimal disruption.
• Introduce at least one compliance process improvement each year.
• Reduce manual compliance tracking through automation and digital tools.
• Keep management informed of regulatory updates with actionable insights.

Functional Competencies:

• Regulatory & Statutory Knowledge:

  Strong understanding of applicable laws, compliance requirements, and governance standards relevant to the organization.

• Audit & Risk Management:

  Ability to manage audits, identify compliance risks, and implement corrective and preventive actions effectively.

• Process & Control Orientation:

  Designs structured compliance processes that ensure consistency, accountability, and transparency.

• Documentation & Reporting Skills:

  Maintains accurate records and prepares clear, concise compliance reports for stakeholders.

• Stakeholder Coordination:

  Works effectively with internal teams, auditors, consultants, and regulatory authorities.

Behavioral Competencies:

• Ethics & Integrity:

  Demonstrates honesty, transparency, and adherence to ethical standards at all times.

• Ownership & Accountability:

  Takes full responsibility for compliance outcomes and drives issues to closure.

• Attention to Detail:

  Ensures accuracy and completeness in compliance documentation and filings.

• Results Orientation:

  Focuses on achieving zero non-compliance and continuous improvement.

• Discipline:

  Adheres strictly to policies, regulations, and timelines.

• Communication:

  Communicates compliance requirements clearly and effectively across levels.

• Collaboration & Teamwork:

  Works collaboratively with cross-functional teams to embed compliance into daily operations.

Location:

Education & Experience:

• Bachelor’s degree in law, Commerce, Management, or a related discipline.
• Minimum of

  5 years

  of experience in compliance, audit, legal, or regulatory roles.
• Hands-on experience in statutory filings, audits, and compliance management.
• Strong understanding of labor laws, corporate compliance, and governance frameworks.
• Experience coordinating with auditors, consultants, and regulatory authorities.