Assistant Director - Compliance/Regulatory Compliance - Rating Agency

AD - Compliance/Regulatory Compliance

Job Opportunity with Leading Rating Agency

Location - Mumbai

Experience - 8 - 12 Yrs

Roles & Responsibilities :

- Draft, modify, implement regulatory policies and ensure adherence to the same in collaboration with respective stakeholders.

- Monitoring of compliances with applicable policies and regulations.

- Evaluate the efficacy of internal controls periodically and improve them continuously.

- Carry out periodical testing on compliance parameters.

- Facilitating internal audits and regulatory inspections

- Facilitate Audits / Inspections / Investigations and ensure closure of MAPs.

- Resolve compliance related queries received from Ratings team members.

- Developing and conducting trainings as per the training calendar for creating awareness on applicable process, policies, and regulatory requirements.

- Preparation of MIS, reports for the leadership as per the stipulated framework.