Compliance Monitoring Expert Wipro Limited

3.0 - 7.0 years

0 Lacs

vadodara, gujarat

On-site

As a Compliance Monitoring Expert at Servaada, a Wipro company, you will play a crucial role in ensuring compliance with regulatory requirements for retail investments and pensions. This new role is central to the organization's growth agenda, focusing on leading strategic deals and enhancing financial outsourcing services. Servaada, authorized by the FCA, offers regulated outsourcing services in the Financial Services industry. Our clients include leading providers for pension schemes and investment platforms, with a focus on delivering business and technology process outsourcing services for front and back-office operations. Your role as a Compliance Monitoring Expert comes with competitive salary, comprehensive benefits package, and opportunities for training and development to enhance your skills and expertise. Key Responsibilities: - Conduct monitoring activities as part of the annual compliance monitoring program, ensuring high standards and timely delivery of results. - Proactively identify control gaps, determine root causes of weaknesses, and propose solutions to mitigate risks. - Collaborate with the Head of Compliance Monitoring to develop action plans with the business, monitor risk mitigation progress, and provide necessary reporting and management information. - Stay updated on regulatory developments, assess compliance risks, and contribute to enhancing in-house controls and procedures. - Maintain accurate logs, update the Compliance Monitoring Program, and cultivate positive compliance culture within the organization. Essential Skills: - Prior experience in compliance monitoring, preferably in asset/wealth management or retail financial advice. - Strong understanding of FCA rules and ability to interpret regulatory requirements effectively. - Knowledge of suitability of advice and/or CASS is advantageous. - Proficiency in communicating technical information clearly and interpreting FCA regulations. Desirable Skills: - Degree education or equivalent qualification. - Industry certifications such as CISI IAQ / IOC or Investment Compliance Diploma are beneficial. - Self-driven individual with strong relationship-building skills and ability to work independently or collaboratively. Join us as a Compliance Monitoring Expert at Servaada and Wipro, contributing to the success of our clients and beneficiaries. We value diversity, equality, and inclusion, welcoming all applicants to be part of our global team committed to positive change and conscious inclusion. Apply now and be a part of our customer-centric culture dedicated to excellence.,

Posted 1 week ago

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Analyst Wipro

1.0 - 3.0 years

3 - 7 Lacs

Mumbai

Work from Office

Underwrite new business applications against an established set criteria for Consumer finance applications Assess all new applications in line with Retail Lending Standards and Policy Work in conjunction with our sales teams to identify and resolve any challenges in relation to decisions and appeals Be responsible for dealing with the more complex enquiries from both staff and external sources to provide an informed response which results in a TCF outcome for those concerned. Apply Consumer Duty principles, and aim to deliver fair outcomes in all of our day-to-day activities. Share and maintain best practice in lending appropriately and fairly, achieving compliance with all applicable internal and external standards including but not limited to Regulation, Group Internal Audit, Group Credit Risk Policy and Lending Standards, in addition to operating within stated levels of risk appetite/mandate Maintain a comprehensive and up to date knowledge and understanding of MotoNovo Finance products and services, providing accurate information and proactively promoting them where appropriate. Work collaboratively and assist and support with the Training and Competence of new underwriters ensuring this is appropriately and suitably evidenced, both initially throughout the induction process, and subsequently on an ongoing basis at all mandate levels. Maintain an up-to-date knowledge of regulatory and legislative information related to MotoNovo Finance products and services (e.g. ICOB, CONC, FCA Rules, Money Laundering, Data Protection, CDD, KYC etc.) Maintain an excellent knowledge and understanding of all relevant policies and procedures relevant to the role, being compliant with these policies and procedures at all times.

Posted 1 month ago

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