Manager - Entity Compliance - Investment Bank

We have Opening for Leading Investment Bank in Bangalore

Exp-6-8 years

Purpose of Role

This role is within the Secretarial, Legal and Compliance function of Frim, The person will be appointed to assist the Compliance Officer of Firm in various compliance matters of the Company

The person will be appointed to assist the Compliance Officer of Firm in various compliance matters of the Company

Job Responsibilities:

- As part of the Compliance team, drive and support high standards of core compliance framework through the ongoing delivery of an organised and structured Core Compliance Program including the Compliance Risk Assessment and Management Information, process reviews, rollout of policies and training.

- Support the Compliance Officer in finalizing the Annual Compliance Plan including monitoring and ensure timely tracking and progress

- Complete administrative duties including but not limited to the filing/storage of documentation, taking minutes and the secure filing of compliance related documents.

- Support first line of defence in developing balanced action plans while ensuring that key compliance risks and regulatory requirements are addressed.

- Work in close collaboration with various departments and colleagues located within and outside India, to ensure due compliance of applicable norms.

- Keeping abreast of applicable regulatory developments and ensuring due compliance of the same;

- Provide in-depth support with interpretive thinking to define problems and develop innovative solutions.

- Drive process enhancements and technology solutions by working collaboratively with all members of the organisation.

- Work collaboratively across functional teams within the Company to ensure effective and efficient operations.

- Connect beyond your team and leverage our global strength as One

- Engage and collaborate with the teams for ensuring improved understanding of the requirements and promote better adherence and enhanced risk control over the guideline