1757 Regulatory Requirements Jobs - Page 15

Job Purpose Compliance testing Lead a team for Compliance testing of various products and processes. Develop a compliance testing plan, determine scope & testing methodology, lead a team for execution, discuss & obtain responses with action plan and present the results to Senior Management. Duties and Responsibilities Compliance testing and product reviewsCompliance Function plays a central role in identifying the level of Compliance risk in the organisation. The compliance function comprises of Regulatory correspondence team, Advisory team and Compliance Monitoring & Testing (CMT) team. The incumbent will principally be accountable to lead the CMT team.The CMT team is responsible for testin...

About The Role Credit Card Process Manager Marketing HO Department Credit Card Products Location Infiniti IT park Reporting Relationship Position Grade Senior Manager Job Role Process designing for Credit Cards covering key aspects of Process Workflows (Digital / Physical), Compliance, Risk, Legal, Ops, Customer Experience, etc. Creating and documenting SOPs/Process notes of various Credit Card processes with clear defined roles and responsibilities to promote efficient implementation. Ability to think through end to end process at various touchpoints such as online channels, partners, Branches, Call center etc. Review processes in light of Fraud and Risk raised by RCU and ORM. Identificatio...

About The Role The Group Internal Audit department conducts risk based internal audit of the Bank and its subsidiaries, including international subsidiaries. The role would involve executing credit audits of various businesses under Commercial Bank/Wholesale Bank. Understanding & evaluating credit proposals independently and highlighting gaps, if any. Testing operating effectiveness of controls, identifying weaknesses therein and making recommendations to improve the control environment; preparing audit reports/presentations; etc. Gaining & sharing knowledge. Job Requirements: Good understanding of banking business processes (lending) and exposure to credit underwriting/credit audits will be...

Key Responsibilities: 1. Risk Monitoring and Analysis: Monitor gaming transactions, player activities, and financial data to identify potential risks and anomalies. Utilize advanced analytics tools and techniques to detect fraudulent or suspicious behaviour patterns. Conduct regular risk assessments and develop strategies to mitigate emerging risks specific to rummy games. Analyzing behaviour of new users and old users for identifying new patterns which may help inearly detection of risk Maintain a fair playing environment by ensuring proper implementation and execution of all riskmanagement systems and processes 2. Fraud Detection and Prevention: Identify and investigate instances of fraud,...

Fund Accounting Prepare and maintain accurate fund financial records, including daily, monthly, and annual accounting tasks. Record and reconcile fund transactions, including investments, income, capital calls, distributions, and valuations. Ensure timely and accurate calculation of Net Asset Values (NAVs) for the funds. Perform daily reconciliation of fund cash and positions with custodian bank statements. Investor Reporting Prepare and distribute investor statements, performance reports, and other related materials. Respond to investor inquiries and resolve any discrepancies or issues related to their statements or reports. Valuation and Reconciliations Perform daily, weekly, and monthly r...

: Must have hands on experience with Tally, Oracle and SAP TDS / GST Filling Coordinate and execute internal audit assignments in accordance with established methodologies, and regulatory requirements. Exposure to audits of Listed entities, Public and Private Companies Provide the required deliverables to the team leader within the set timelines. Exhibit the understanding of client business and processes Maintain client data in an organised manner Work as a team to ensure a positive work environment. Follow the work ethics and maintaining personal conduct. Stay updated with the latest industry regulations and best practices in internal auditing. Ensure compliance with the Firm's policies, pr...

: Execute audit strategy and plan of concurrent audits testing in accordancewith the Policies, Procedures, Legal, Statutory and Regulatory requirements, Internal Audit Standards, and leading best practices. Maintain and update concurrent audit procedures and checklists to ensure they remain current and updated keeping pace and aligned with changes in internal policies/guidelines as well as legal/statutory/regulatory changes and evolving industry best practices. Ensure timely and quality execution of concurrent audit reviews . Ensure timely completion of Concurrent audit plan with quality of audits, and meet with all concurrent audit documentation and reporting requirements as per Concurrent ...

Ensure compliance with statutory and regulatory requirements. Oversee corporate governance practices and advise the board on legal matters. Prepare and maintain minutes of board meetings, AGM, and other corporate meetings. Handle the filing of necessary forms and returns with government authorities. Liaise with legal, financial, and regulatory bodies. Support the preparation of annual reports, legal documents, and company policies. Maintain and update company records, such as director details, share capital, etc.

Your key responsibilities: The candidate will primarily be working on Risk assurance, control testing, or internal audit engagements with focus on: establishing Assurance activities within Treasury Risk providing input, execution and roll out support of a control assurance framework for Treasury risk that provides a common set of standards and definitions support the review and closure of risk and issues relating to Treasury risk arising from Management Self-Identified issues, regulatory requirements, Compliance, Internal Audit, and External Audit and ensuring that these matters are well understood by senior management and addressed on a globally consistent basis Support the Risk and Control...

Job Responsibility: Ensure compliance with all regulatory requirements as per the Companies Act, SEBI regulations, andother relevant laws. Manage and maintain all corporate records, including board meeting minutes, resolutions, andstatutory filings. Coordinate and facilitate board and committee meetings, including preparing agendas, circulatingmaterials, and recording minutes. Liaise with internal and external stakeholders, including directors, auditors, regulators, andshareholders. Assist in the preparation and filing of annual reports, financial statements, and other regulatorydisclosures. Monitor changes in laws and regulations affecting the company and advise managementaccordingly. Provi...

Implement and enhance the Operational Risk Management Framework (ORMF) Conduct Risk & Control Self Assessments (RCSA) and process reviews Monitor and investigate risk incidents , drive CAPA Define and track Key Risk Indicators (KRIs) Prepare risk dashboards for management reporting Collaborate with internal teams on new product/process risk reviews Support audit and regulatory requirements Help adopt GRC tools like Archer / Metric Stream.

Broking Audits: Perform audits on broking operations to verify adherence to compliance and regulatory requirements. Analyze trading practices, client interactions, and financial reporting to identify potential discrepancies or issues. Perform detailed audits of broking activities, including trading practices, client transactions, and account management. Evaluate the effectiveness of internal controls and risk management processes related to broking operations. Ensure that broking operations adhere to relevant regulations and industry standards, including compliance with financial market regulations and anti-money laundering (AML) requirements. Monitor changes in regulatory requirements and u...

Coordinate and execute internal audit assignments in accordance with established methodologies, and regulatory requirements. Exposure to audits of Listed entities, Public and Private Companies . Exhibit the understanding of client business and processes. Implement the best audit and business practices in line with applicable internal audit statements. Manage resources and audit assignments. Compile and implement the annual Internal Audit plan . Conduct ad hoc investigations into identified or reported risks. Oversee risk-based audits covering operational and financial processes. Ensure complete, accurate, and timely audit information is reported to Management and/or Risk Committees. Overall ...

Financial Strategy and Planning: Develop and execute the company's financial strategy in alignment with its overall objectives. Oversee budgeting, forecasting, and financial planning processes to ensure accuracy and effectiveness. Identify opportunities for cost optimization and revenue growth to enhance financial performance. Financial Reporting and Analysis: Prepare and present timely and accurate financial reports to the executive team and board of directors. Conduct in-depth financial analysis to support strategic decision-making and identify areas for improvement. Monitor key financial metrics and KPIs, providing insights and recommendations for performance enhancement. IPO Compliance: ...

NSRCEL is the startup hub and incubation center of IIM Bangalore, dedicated to supporting and scaling ventures that showcase innovation, impact, and execution across various industries. The primary mission of NSRCEL is to connect industry, academia, and policy to cultivate a thriving entrepreneurial ecosystem. In the fiscal year 23-24, NSRCEL successfully incubated 1,347 ventures spanning 25 states, leading to significant economic and societal contributions. As a part of the team, your responsibilities will include: Budget Management: You will be tasked with developing, implementing, and monitoring budgets to ensure they align with the organization's goals. Financial Planning and Analysis: Y...

Job Description: As an Assistant Medical Superintendent at Apollo Hospitals, you will play a crucial role in overseeing daily hospital operations, ensuring regulatory compliance, and enhancing patient care. Your responsibilities will include coordinating with medical and administrative staff, managing hospital resources efficiently, and monitoring clinical outcomes to maintain the highest standards of healthcare services. You will also be involved in implementing quality improvement initiatives, strategic planning, and upholding healthcare standards to improve the lives of patients globally. To excel in this role, you must possess strong leadership and management skills, along with proven ex...

The Manager - Quality Control (QC) will be responsible for ensuring that all products manufactured for third-party clients meet quality standards, regulatory requirements, and client specifications. You will oversee all QC activities in the production process, lead a team, manage testing procedures, and ensure adherence to quality guidelines for skincare, hair care, body care, and personal care products. Your key responsibilities will include developing, implementing, and maintaining QC processes to ensure products meet quality and safety standards. You will monitor production processes, work closely with the production and R&D team to identify and resolve any quality-related issues, and ove...

Fincv is a partnership firm founded in 2023, with the goal of building a dedicated marketplace that connects Small and Medium Enterprises (SMEs) with short-term capital specifically for commercial vehicle financing. The platform provides SMEs with an efficient way to access the necessary funds to support their commercial vehicle needs. Currently, Fincv operates in 11 locations across Karnataka, enabling businesses in the region to secure the financial resources they need to grow and thrive. Qualifications: - Bachelors degree in finance, Business Administration, or a related field (MBA or equivalent is a plus). - Minimum of 5 years of experience in credit risk management, with a focus on the ...

We are looking for a skilled PLC & SCADA Automation Engineer with a strong background in the water industry to join our team. You will be responsible for designing, implementing, and maintaining SCADA systems tailored to the water sector. Your role will involve collaborating with cross-functional teams to ensure the efficient and reliable operation of our water treatment and distribution processes through automation and real-time monitoring. Key Responsibilities: - Design, develop, and implement SCADA systems for water treatment plants and distribution networks. - Develop PLC programs for controlling various water-related processes. - Configure data acquisition from field devices, sensors, a...

You are an experienced Global Product Owner who will lead the Conversational Analytics Program at GSK. The program uses an AI-based voice capture tool for Sales Reps to collect in-call and post-call voice recordings, providing concise Gen AI summaries of conversations. Your role involves identifying growth opportunities, driving product vision and strategy, and creating a roadmap for Conversational Analytics. You will collaborate with cross-functional teams to ensure effective rollout of new features globally. As the Global Product Owner, you will manage the product backlog, prioritize features based on business value, and collaborate with stakeholders to gather requirements. You will work c...

As the Manufacturing Transformation Process (MTP) and Operational Excellence (OE) Lead, you will be responsible for driving the strategic direction and implementation of initiatives to enhance manufacturing processes and achieve continuous improvement. Your key responsibilities will include: - Leading and managing the MTP and OE initiatives to optimize manufacturing processes and drive operational excellence. - Collaborating with cross-functional teams to identify opportunities for process enhancements and cost savings. - Providing guidance and support to the production team in implementing best practices for operational efficiency. - Monitoring and analyzing key performance indicators to ev...

Premier Research is seeking an Associate Director, TMF Process, Systems, and Training to join the Pharmacovigilance and Records Management team. In this role, you will play a pivotal part in assisting biotech, medtech, and specialty pharma companies in translating groundbreaking ideas and scientific advancements into new treatments. Your work will directly impact saving and enhancing lives, highlighting the invaluable contribution of our team members towards achieving success. As an essential member of our team, you will be instrumental in driving the improvement of TMF processes, systems, and training within Global Records Management (GRM). Collaborating with Departmental Leadership, you wi...

Job Title: Stock Trader Location: Panipat, Samalkha, Karnal, Sonipat Salary: 4 LPA+ Performance-based Incentives Experience Required: 2+ years Qualification: NISM Certification (Mandatory) Job Type: Full-Time Job Description: We are looking for an experienced Stock Trader with strong skills in equity, futures & options (F&O), and commodity markets. The candidate will be responsible for executing trades, analyzing market trends, managing risk, and contributing to overall profitability. Performance-based incentives make this role highly rewarding for results-driven traders. Key Responsibilities: Execute trades in equities, derivatives (F&O), and commodities efficiently. Develop and implement p...

About The Role Credit Card Process Manager Marketing HO Department Credit Card Products Location Infiniti IT park Reporting Relationship Position Grade Senior Manager Job Role Process designing for Credit Cards covering key aspects of Process Workflows (Digital / Physical), Compliance, Risk, Legal, Ops, Customer Experience, etc. Creating and documenting SOPs/Process notes of various Credit Card processes with clear defined roles and responsibilities to promote efficient implementation. Ability to think through end to end process at various touchpoints such as online channels, partners, Branches, Call center etc. Review processes in light of Fraud and Risk raised by RCU and ORM. Identificatio...

About The Role The Group Internal Audit department conducts risk based internal audit of the Bank and its subsidiaries, including international subsidiaries. The role would involve executing credit audits of various businesses under Commercial Bank/Wholesale Bank. Understanding & evaluating credit proposals independently and highlighting gaps, if any. Testing operating effectiveness of controls, identifying weaknesses therein and making recommendations to improve the control environment; preparing audit reports/presentations; etc. Gaining & sharing knowledge. Job Requirements: Good understanding of banking business processes (lending) and exposure to credit underwriting/credit audits will be...