Role Summary:

- Support in monitoring organization's corporate compliance and associated policies and procedures in order to promote and reinforce a culture of ethical business conduct, principles and practices, including periodic risk assessments and internal audits.

- Support the compliance head to ensure organization's compliance agenda is in accordance with the S&P Global Code of Conduct, government guidelines, and industry best practices, including investigation of reports and complaints.

- Work in cooperation with legal to assure organization is in compliance with regulatory, employee law, client compliance and rating agency laws.

- Ensure organization is compliance with insider trading laws in accordance with SEBI guidelines.

- Support in corrective action plans for resolution of compliance issues, trends and identified risks.

- Identify potential areas of compliance vulnerability and risk for the organization and collaborate with the compliance head to strengthen our practices as appropriate, to mitigate risk.

- Ensure periodic declaration of investments from employees

- Prepare periodic reports for leadership team, the Board, and other stake holders, regarding the organization's compliance efforts, risks and effectiveness.

- Maintain an effective compliance communication plan increase the awareness of the Code of Conduct and insider trading policies

- Work with the human resources team and management to apply appropriate disciplinary measures for compliance violations and to develop an effective global compliance training program, including appropriate introductory training for new employees and identified contingent workers, and ongoing training for all employees and managers on the company's global corporate compliance program and ethical business conduct.

- Assist on securities compliance and other matters as needed.

- Assist with compliance of applicable regulations in the operational jurisidictions

- Awareness/knowledge of GFCC, Anti-Bribery laws

- Vetting the MSA/SOP of clients

- Ensure adherence to compliance framework outlined by the clients

- Good understanding of Global Regulations (UK, US)

Essential Qualification: Professionally qualified CS and Law

Experience

- 7 - 12 years of overall experience,

- He/ she should have successful worked with compliance team for large financial services/ Banks/ regulated entities.

- Should have experience in interacting and dealing with senior-level functionaries of regulators and government agencies

- Should have experience in working in financial institutions

Skills

- Should have broad knowledge of relevant laws and regulations, business savvy and a balance of compliance and operational experience

- Global regulations and laws

- Excellent interpersonal skills to interact effectively with an ever changing environment

- Able to successfully influence the stakeholders.

- Strong written and verbal communication skills to face off global counterparts

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