IN_Senior Associate_ Compliance Risk Services _ITRA _ Advisory _ Mumbai

Job Description & Summary:

1.Assist in conducting Compliance Quality Assessment Review and support Manager in identifying areas for improvement and implementing corrective actions.
2.Assist in drafting and reviewing regulatory policies and ensure  policies are up-to-date and reflect current regulatory requirements.
3.Support the Manager in leading compliance gap assessment projects and assist in developing action plans to address identified gaps.
4.Conducting Compliance Risk Assessment and Testing.
5.Ensure timely dissemination of regulatory circulars to clients and provide actionable insights and guidance based on the circulars.
6.Preparation and updating of compliance registers.
7.Overseeing regulatory reporting processes.
Ensure compliance with reporting requirements and timely submission of reports.
8.Development of compliance manuals and frameworks for clients.
9.Support the implementation of compliance automation tools and technologies.
10.Assist in the implementation process for new regulatory circulars and ensure clients' compliance with new requirements and provide necessary support.
11. Assist in other compliance-related projects such as due diligence,  process improvement etc

Responsibilities:

Worked with a NBFCs/ Banks/ SFBs in the Compliance/Secretarial department for 4-6 years, familiar with RBI Regulations /SEBI regulations for AIF/AMC/Listed Entities & Companies Act.Similar experience in Consulting Firm

Mandatory skill sets:

•  Compliance Risk Assessment and Testing
• Compliance Quality Assessment Review

Preferred skill sets:

•  Compliance Risk Assessment and Testing
• Compliance Quality Assessment Review

Years of experience required:

4+

Education qualification:

CS/CA/MBA