Compliance Role - BFSI/Insurance Firm - LLB/CS

Compliance

Job Description:

- Monitor all aspects of compliance relating to functions/processes assigned to the person.

- Interact with WDRA officials for ensuring smooth implementation of the Regulatory directives.

- Develop systems and processes for ensuring that periodical compliance that needs to be adhered by the Repository is met with on a regular basis.

- Identify critical compliance processes for close monitoring business.

- Creating effective policy framework for regulatory compliance.

- On boarding of Repository Participants/Continued Compliance/Surrender approval.

- Managing the Regulatory compliance checklist for organisation.

Work Experience:

- Around 10 to 15 years of work experience in compliance department of:

- Securities markets or financial services/ mutual funds or Banking or Insurance industry.

Qualification:

- A Member of the Institute of Company Secretaries of India or Bachelor's Degree in Law from reputed institutes.

Skills & Knowledge:

- Develop processes and systems to monitor key parameters for compliance within the laid down guidelines.

Implementation of controls:

- Ensure adherence to compliance matters.

- Up-dation and maintenance of records for all the compliance related matters on the website.

- Identify critical compliance processes for close monitoring business.

- Prepare regular reports/MIS and analysis for CEO/senior management/WDRA for effective compliance mechanism.

- Understanding of Repository ecosystem and operations will be an added advantage.

- Ability to lead a talented and motivated team of professionals.