Compliance officer Job Description: The Compliance Officer is responsible for ensuring the company's adherence to applicable laws, regulations, and internal policies and procedures. This role is crucial in maintaining the company's integrity and reputation by identifying and mitigating compliance risks within the organization. The Compliance Officer will work closely with various departments, including legal, finance, operations, and senior management, to establish and enforce effective compliance. Key Responsibilities: 1. Develop and Implement Compliance Policies and Procedures: - Design, implement, and update compliance policies, procedures, and guidelines to ensure compliance with relevant laws and regulations, such as RBI guidelines, SEBI regulations, and any other applicable regulatory frameworks. - Regularly review and revise existing policies and procedures to keep them up to date with changes in laws and regulations. 2. Compliance Risk Assessment: - Conduct periodic compliance risk assessments to identify potential areas of compliance vulnerability and risk. - Develop and implement measures to mitigate identified compliance risks effectively. - Monitor emerging regulatory developments and industry best practices to proactively address new compliance risks. 3. Training and Education: - Provide training to employees on compliance-related matters, including regulatory requirements, internal policies, and procedures. - Raise awareness and promote a culture of compliance throughout the organization. 4. Monitoring and Reporting: - Establish monitoring mechanisms to ensure ongoing compliance with applicable laws, regulations, and internal policies. - Conduct regular audits and reviews to assess the effectiveness of the compliance program. - Prepare and submit periodic compliance reports to senior management, highlighting key findings, trends, and recommendations. 5. Compliance Investigations: - Conduct internal investigations into compliance-related incidents, breaches, or allegations. - Collaborate with relevant departments to address and resolve compliance issues promptly. - Maintain accurate records of compliance incidents, investigations, and corrective actions taken. 6. Regulatory Liaison: - Serve as the primary point of contact with regulatory bodies, such as the Reserve Bank of India (RBI) and other relevant authorities. - Stay updated on regulatory requirements, communicate changes to relevant stakeholders, and ensure timely compliance. 7. Compliance Monitoring Tools and Systems: - Utilize technology and compliance monitoring tools to enhance the effectiveness and efficiency of compliance processes. - Stay informed about industry trends and emerging technologies in compliance monitoring and suggest appropriate solutions for implementation.

Pune

Altum Credo - Compliance Officer 

Altum Credo - Compliance Officer  ,Job Description for Altum Credo - Compliance Officer  in Altum in  Pune for (5-12) years of experience. Apply Now!

Job Description for Altum Credo - Compliance Officer  in Altum in  Pune for (5-12) years of experience. Apply Now!