Compliance Manager - BFSI

Divisional Overview:

Compliance risk is commonly defined as the risk of legal or regulatory sanction, financial loss, or loss to reputation which a firm and/or its employees may suffer as a result of the failure to comply with applicable laws, regulations, codes of conduct and standards of good practice. We work with all levels of the firm to assist in the development and maintenance of a strong compliance culture that includes monitoring, surveillance, regulatory reporting, training, and to support the embedding of appropriate behaviour within the firm's operating practices

Position Specifications:

Corporate Title - Associate

Functional Title - Manager

Experience - 4+Yrs

Qualification - Graduate / Post Graduate

Role & Responsibilities:

1) Reviewing policies and procedures on a periodic basis

2) Reviewing OBI/A and Gift and Entertainment request

3) Handling the tasks wrt Personal Account Dealing Process

4) Reviewing Assessment documents and provide approval

5) Producing MIS

6) Reviewing request to seek access to different applications

7) Handling the tasks wrt training and Electronic Communication surveillance process

8) Handling mailbox queries

9) Conducting quality checks for different tasks

Salary range - 9-12 LPA