Executive - Compliance

Role & responsibilities

• Assist in monitoring compliance with applicable laws, regulations, and regulatory guidelines.
• Support preparation, maintenance, and periodic review of internal policies, SOPs, and compliance manuals.
• Maintain and update statutory and regulatory compliance trackers/calendar and ensure timely completion of compliances.
• Assist in monthly/quarterly/annual regulatory filings, submissions, and responses to regulators, holding company and auditors.
• Coordinate with internal departments to collect information and documents for compliance requirements.
• Support internal audits, compliance reviews, and regulatory inspections.
• Conduct compliance testing and spot testing of departments to identify the gaps and prepare the observation report of the same.
• Keep record of last observation made, actionable arise, changes/directives by Management/Board and implementation of the corrective steps taken to ensure compliance of the same.
• Maintain proper documentation, records, and compliance evidence.
• Track regulatory updates and assist in assessing their applicability to the organization.
• Support implementation of compliance trainings and awareness programs for employees.
• Communication like emailers, circulars, Notifications to departments on a regular basis.
• Escalate potential compliance gaps or risks to the reporting manager and to carry out necessary measures to mitigate Compliance risk.
• Conduct compliance check at the event of launch of new product, enhancement of existing product, process, systems, policies.
• Assist in preparation of agenda and minutes of compliance risk management committee.
• Additionally, any other job/role/responsibilities assigned from time to time.