Compliance Manager - I

Primary Role

·       Provide advice to the business team on implementing any regulatory changes

·       Implement Compliance Management tool to track all regulatory compliances applicable to the company

·       Plan reviews by assessing key risks pertinent to the business, gathering records, developing detailed test plans and analyzing the information to identify control issues

·       Conduct compliance reviews in order to assess and review compliance with legal, regulatory and internal firm policy requirements and work with the business and other stakeholders to design appropriate remedial actions to mitigate identified risks

·       Evaluating and documenting results of tests performed

·       Support business by researching, questions or handling compliance-related issues as and when they arise and escalate issues wherever appropriate

·       Working with business managers and management to agree on appropriate action plans

·       Writing reports, presenting review results, articulating the rationale for findings, the risks posed and actions required to address those risks

·       Following-up on action plans to verify that corrective action has been effectively implemented

·       Meeting standards for performing high quality and value-added compliance risk reviews

Desired Skills 

·       5 plus years of compliance, compliance testing, audit or other control function experience and/or relevant analytical skills

·        A professional qualification viz. CA, CIA will be preferred.

·       Strong verbal, written and listening communication skills

·       Candidates who have knowledge of digital lending, investment adviser, mutual fund and insurance rules and regulations will be preferred

·       Ability to work independently in a team and manage multiple priorities

·       Ability to coordinate with other control areas, such as Internal Audit and Risk Management