12 Regulatory Adherence Jobs

As a Project Coordinator, you will be responsible for overseeing various aspects of project management from planning to execution. Your role will involve project planning, resource management, time management, budget management, quality assurance, stakeholder communication, risk management, documentation, compliance, and regulatory adherence, as well as utilizing various systems and tools. Your attention to detail and ability to effectively coordinate between different teams and stakeholders will be crucial to the successful completion of projects. You will play a key role in ensuring that projects are completed on time, within budget, and meet quality standards while adhering to all compliance and regulatory requirements. Your strong organizational and communication skills will be essential in managing project timelines and deliverables.,

About this role: Wells Fargo is seeking a... In this role, you will: Support management in the day-to-day supervision of less experienced team providing guidance, and resolution to issues contributing to overall effectiveness of team Provide feedback and present ideas for improving or implementing processes and tools within Operations group Perform or guide others on complex escalated issues that require planning, evaluation, and interpretation Prioritize work and provide daily work leadership and mentorship to team Provide training and technical guidance to less experienced staff Lead or contribute to implementation of new or revised processes and procedures that require coordination among operation teams Collaborate and consult with peers, colleagues, and managers to resolve issues and achieve goals Interact with internal customers Receive direction from leaders Exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements Serve as a resource to other departments on transaction structure, documentation, and company policies Required Qualifications: 6+ years of Operations experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education Required Qualifications for Europe, Middle East & Africa only: Experience in Operations, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

An opportunity to work with The Sankalp Group assures you more than just job satisfaction, it inculcates a sense of diversity and humanitarian values needed to function in a hospitality sector. The position available is for a Senior Engineer in construction based in Ahmedabad. The ideal candidate should have a minimum of 5+ years of experience in the field. As a Senior Engineer in construction, your primary responsibilities will include overseeing construction project planning and execution. You will be responsible for managing site operations to ensure safety and compliance with regulations. Coordination with contractors, architects, and vendors will be a key part of your role to ensure smooth project progress. You will also be tasked with monitoring project timelines, budgets, and quality standards to deliver successful outcomes. In case of technical issues, you will be required to provide engineering solutions efficiently. Regular site inspections must be conducted to ensure regulatory adherence and quality control. If you are interested in this challenging yet rewarding position, please send your CV to hrd@sankalponline.com to be considered for this role.,

As a Regulatory Compliance Specialist, you will play a crucial role in ensuring our organization's compliance with regulatory standards in various operational areas. Your proactive approach will be essential in effectively managing compliance processes, communicating regulatory updates, and supporting governance initiatives. Your key responsibilities will include: - Advertising Compliance: You will be responsible for vetting and approving insurance advertisements, maintaining a comprehensive advertisement register, approving specimen advertisements, and ensuring the smooth functioning of the advertisement committee. - Regulatory Adherence: You will work towards ensuring overall compliance with a variety of advertisement regulations and industry guidelines. - Regulatory Change Management: Your role will involve disseminating information on new or updated regulations from IRDAI, PFRDA, TRAI, IFSCA, identifying actionable items, and collaborating with internal departments to ensure timely and effective implementation. You will also be responsible for updating and maintaining compliance checklists to facilitate robust regulatory change management. - Governance Support: You will manage various governance activities, including preparing and submitting board and committee agendas for the department. - Reporting & Analysis: You will be tasked with preparing essential dashboards and presentations related to compliance and change management initiatives. - Audit Management: Conducting compliance audits for different operational areas will also be part of your responsibilities. To be successful in this role, you should have 2 to 5 years of relevant work experience.,

As a Health/Sr Health Insurance Counsellor/Astt. Sales Manager at Niva Bupa Health Insurance Company, your primary role is to sell insurance products directly to customers through various avenues such as Activity Driven Business and Point Of Care desks. It is essential to maintain a good rapport with stakeholders at the place of business. You will be responsible for onboarding new customers through direct selling, reference selling, activity-driven selling, and direct sales at multiple locations within and outside the city. To excel in this role, you should possess a strong understanding of insurance products, excellent communication and written skills, and the ability to develop business opportunities. Compliance with regulatory requirements, providing sales support, and delivering exceptional customer service are also key responsibilities. Key Requirements: - Education & Certificates: Graduate & Post Graduate (In Any Field) - Experience & Skills: Interpersonal Skills, Negotiation Skills, Product Knowledge, Problem-Solving, Customer Focus Functional Competencies: - Convincing Skills: Intermediate - Product/Insurance Knowledge: Intermediate - Continuous Learning: Intermediate - Technology Proficiency: Intermediate - Team Work: Intermediate - Problem Solving & Analytical Skills: Intermediate - Compliance & Regulatory Knowledge: Intermediate - Customer Focus: Intermediate Behavioral Competencies: - Strategic Mindset: Intermediate - Entrepreneurship: Intermediate - Execution Excellence: Intermediate - Building High Performing Teams: Yes Join Niva Bupa Health Insurance Company, a rapidly growing Stand Alone Health Insurer, and be a part of an exciting journey towards achieving significant milestones in the healthcare industry.,

Derivative Operations offers a unique opportunity to provide operational support across Corporate and Investment Banking, encompassing essential product areas such as Foreign Exchange, Over-the-Counter Derivatives, Principal Collateral, Third Party Derivatives, Cleared Derivatives, Agency Collateral, Billing, and Client Asset Sourcebook. As a Margin & Collateral Analyst in Collateral Operations, you will be responsible for various tasks including managing Collateral Disputes, performing daily Margin Exchange with Same day Settlement and Exception management, supervising controls around Collateral exposure, handling MTM breaks including data quality and strategic projects, and playing a key role in regulatory compliance such as CFTC, EMIR, NCMR, etc. You will interact with multiple Operations & Technology teams to provide business support and focus on continuous improvement to support business across Back Office, Middle offices, and Global teams. Your responsibilities will also include managing any new analysis requirements across multiple stakeholders, providing regular updates to senior management on BAU and projects, supervising UAT testing, and managing strategic automation projects to enhance operational efficiency. To qualify for this role, you should have a CA/ MBA with 2 years of experience or a Graduate/ Post-Graduate with 4 years of experience in operations. Familiarity with a global bank's process & operational environment, strong business knowledge in Investment Banking, including OTC products, processes, and system knowledge are required. You should have the ability to think and act strategically, drive results through a hands-on approach, possess excellent communication skills, and be skilled in MS Office applications. Flexibility to work global hours and willingness to travel globally, if needed, are also important. Preferred qualifications include knowledge of CFTC, EMIR, NCMR regulations, experience in OTC Confirmations, Collateral Management, and Reconciliation platforms. If you are someone who thrives in a dynamic environment, can prioritize work effectively to meet tight deadlines, and has a strong attention to detail, this role offers an exciting opportunity to contribute to the operational success of the organization.,

As an Internal Audit professional with 8-10 years of experience, your primary responsibilities will include the following: Audit Planning and Execution: You will play a key role in designing and developing comprehensive audit programs to assess the effectiveness of internal controls, determine audit scope, and ensure the annual audit plans are met. Compliance and Regulatory Adherence: Ensuring compliance with Fintech industry regulations, applicable laws, internal policies, and taxation regulations will be a crucial part of your role. You will act as an objective source of independent advice to ensure validity, legality, and goal achievement while monitoring adherence to company policies and regulatory guidelines. Process Improvement: You will be responsible for recommending and implementing process improvements in various operational areas such as Retail operations, Inventory management, Supply chain, and Customer experience to optimize costs and enhance efficiency. Reporting and Communication: Preparing detailed audit reports that include findings, recommendations, and action plans will be essential. Additionally, collaborating with cross-functional teams to address identified issues promptly is a key aspect of the role. Risk Management: Identifying operational and financial risks associated with the operations and developing strategies to mitigate these risks will be part of your responsibilities. You will also lead risk assessments and ensure the implementation of risk management plans to prepare the organization for potential challenges. Conducting operational risk audits across the organization will also be part of your duties. IFC: Assisting in the annual IFC testing cycle across the organization and drafting comprehensive reports on the same will be part of your responsibilities. Training and Development: Organizing timely training sessions for staff on internal control procedures, compliance requirements, and best practices in the Fintech industry is crucial. Leading the internal process of planning effective and timely audits at all operational levels is also part of your role. Ad-Hoc Investigations: Conducting ad-hoc investigations based on senior management or board recommendations will also be a part of your responsibilities.,

Derivative Operations offers a unique opportunity for you to provide operational support across Corporate and Investment Banking. This encompasses essential product areas such as Foreign Exchange, Over-the-Counter Derivatives, Principal Collateral, Third Party Derivatives, Cleared Derivatives, Agency Collateral, Billing, and Client Asset Sourcebook. As a Margin & Collateral Analyst in Collateral Operations, your responsibilities will include managing Collateral Dispute, performing daily Margin Exchange with Same day Settlement and Exception management, supervising controls around Collateral exposure, and overseeing MTM breaks including data quality and strategic projects. You will partner with Middle Offices, Credit Risk, VCG, etc., to focus on deep dive and fixing upstream issues to minimize breaks. Additionally, you will play a key role in regulatory compliance with CFTC, EMIR, NCMR, etc., improve controls in the process, ensure 100% accuracy and compliance to Regulatory rules, manage any new analysis requirements across multiple stakeholders, and provide regular updates to senior management on BAU, projects, etc. You will also supervise UAT testing and manage strategic automation projects. To qualify for this role, you should have a CA/MBA with 2 years" experience or a Graduate/Post-Graduate with 4 years" experience in operations. Familiarity with a global bank's process & operational environment, including management and external reporting, is a must. Strong business knowledge in Investment Banking, including OTC product, process, and system knowledge is essential. You should have the ability to think and act strategically, drive results through a "hands-on" approach, possess excellent verbal and written communication skills, and be skilled in MS Office applications. Operating effectively in a dynamic environment with tight deadlines, prioritizing work to achieve goals, and flexibility to work global hours and travel globally, if needed, are also required. Preferred qualifications include knowledge of CFTC, EMIR, NCMR regulations, experience with OTC Confirmations, Collateral Management, and Reconciliation platforms.,

As an experienced and versatile Manager, Operations & Administration at Expansion Desk in Kurali (Punjab), you will be responsible for overseeing the critical support functions of the company. With a minimum of 10 years of experience in an organized sector, you will demonstrate a comprehensive understanding of best practices in human resources, manpower management, accounts, and various company certifications and compliances. Reporting to the directors, you will play a crucial role in ensuring smooth and efficient operations to support manufacturing practices, the team, and regulatory adherence. Your key responsibilities will include: Human Resources (HR): - Talent Management: Oversee employee performance, create incentivization systems, maintain discipline, and make day-to-day decisions for factory operations. - Policy & Compliance: Implement and enforce HR policies in line with labor laws and company regulations, ensuring overall compliance. - Employee Engagement: Foster a positive work environment through effective communication, conflict resolution, and initiatives promoting employee well-being. Accounts & Finance Support: - Budgeting Support: Assist in budget preparation, monitoring, and financial reporting to aid in business decision-making. - Compliance: Ensure adherence to tax regulations (e.g., TDS, GST) and other financial compliances. Certifications & Compliance: - Regulatory Adherence: Identify and track necessary company licenses, permits, and certifications for timely renewals (e.g., ISO, industry-specific, local business licenses). - Audit Preparedness: Prepare the company for internal and external audits, ensuring documentation and processes are in order. - Risk Management: Proactively identify and mitigate operational risks related to compliance and administration. General Administration & Operations: - Office Management: Oversee office administration, including supply procurement, facility maintenance, and vendor management. - Process Improvement: Identify opportunities for process optimization and implement efficiencies across administrative and operational functions. - Cross-Functional Collaboration: Work with departments to understand their administrative and operational needs, providing effective support. - Record Keeping: Maintain accurate and organized company records, both physical and digital. Qualifications: - Bachelor's degree in electrical, electronics, or mechatronics engineering. - Previous experience as a General Manager in the same domain is preferred. - Minimum of 10 years of progressive experience in a managerial or senior administrative role within an organized sector company. - Demonstrated knowledge and hands-on experience in HR, Accounts, and managing company certifications/compliances. - Understanding of Indian labor laws, tax regulations (e.g., Income Tax, GST), and general business compliances. - Proficiency in basic accounting. - Excellent communication, interpersonal, and leadership skills. - Strong organizational and time management abilities with attention to detail. - Ability to work independently, prioritize tasks, and manage multiple responsibilities effectively. - Problem-solving attitude and proactive approach to challenges.,

Responsibilities Drafting notices and agenda of Board meetings, Committee Meetings and General Meetings and preparing minutes of the same Assisting the CS for all company secretarial functions, duties and responsibilities Assisting in Budgetary Support under GST along with CA Filing of Returns and Compliances with ROC, BSE, NSE, SEBI etc. Knowledge of Accounts Preparing & Filing ROC Forms Maintain Minutes Books Conducting AGM & EGM of Listed Entity Knowledge of Share Transactions, Demat, Holding etc. Preparing Legal Documents & Agreements Keep Yourself updated about Regular changes in different acts related to Company. Coordination with SEBI & Stock Exchange for ESOP Scheme, obtaining in-principal approval etc. Analyzing of SEBI circulars and preparation of Impact Analysis Report Assisting in ROC Compliances Assisting CS for Compliances submission by the companies and taking actions as per latest Circulars Handling Inspection and Preparing Reply to Intermediaries Prepare Documents in regard to Merchant Banking Services like DRHP, Draft Letter of Offer, PA, DPS etc. Basic understanding of Accounts Preparing & Filing ROC Forms Maintain Minutes Books Skills : - 1. Ensure legal and regulatory adherence, 2. Maintain statutory records, 3. Uphold corporate governance standards, 4. Provide advisory support on compliance matters, 5. Interact with clients and resolve their queries, 6. Facilitate meetings and prepare necessary documentation

The Internal Auditor will conduct audits and reviews of financial, operational, and compliance processes within the organization to assess risk, ensure accuracy, and maintain compliance with regulatory standards. This role involves evaluating internal controls, identifying areas for improvement, and providing recommendations to optimize operations and mitigate risks. Key Responsibilities: Audit Planning and Execution Develop and implement audit plans for assigned areas of the organization based on risk assessments. Conduct financial, operational, and compliance audits to assess the effectiveness of internal controls and accuracy of records. Perform data analysis and sampling to verify the reliability and integrity of information. Risk Assessment and Controls Evaluation Evaluate the organization's risk management practices, policies, and procedures. Identify potential risk areas, including internal control deficiencies, and make recommendations for corrective actions. Work with management to identify effective measures to mitigate identified risks Compliance and Regulatory Adherence Review and ensure compliance with applicable laws, regulations, and internal policies. Provide recommendations for improving compliance and process efficiency Documentation and Reporting Prepare clear and concise audit reports, documenting findings and recommending actionable improvements. Communicate audit findings to relevant stakeholders, including senior management, and provide follow-up on corrective actions. Collaboration and Advisory Support Work closely with various departments to support the implementation of effective internal controls. Provide advisory support to departments on best practices for internal controls, operational improvements, and risk mitigation. Stay updated on changes in industry standards and regulations to ensure compliance. Continuous Improvement and Training Identify opportunities to improve the audit process and methodology. Participate in ongoing training to enhance auditing skills and knowledge of industry best practices Qualifications: Education: Bachelor's or master's degree in accounting, Finance, Business Administration, or related field, CA, CS or CMA. Experience: 3+ years of experience in internal or external auditing, accounting, or related roles. Experience in Jewellery & bullion industry is preferred. Skills: Strong analytical and critical thinking skills Excellent verbal and written communication Proficient in using audit software and tools, including data analysis and ERP systems Detail-oriented, organized, and able to manage multiple priorities Should have high Integrity and professional ethics Should be able to assess and manage risks Strong problem-solving and decision-making skills Should be good with project management and time management

Responsible for leading & overseeing all operations at the facility comprising multiple plants. EHS & Site Management Regulatory & Statutory Compliance Operations Planning & Strategy Budgeting & Financial Oversight Quality & Supply Chain Leadership Required Candidate profile Min 15 yrs of exp in chemical manufacturing with at least 5 years as a site head/multi-plant leader Demonstrated success in improving plant performance and compliance