Assistant Vice President - Compliance Operations - BFSI

Daily download of guidelines from the websites of regulators / bodies, circulation to the regulatory team, and maintenance of trackers.

- Receipt and tracking of all process notes and policies of various departments received by the department for vetting.

- Maintenance of trackers and records for all regulatory / statutory correspondences received by the Company.

- Maintenance and monitoring of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs) for the department.

- Periodic review of various policies and relevant process notes owned by the department and implementation thereof.

- Ownership of software applications (e.g., DAKSH and other applications), including user management.

- Preparation of materials, convening meetings, recording minutes, and tracking Action Taken Reports (ATRs) for the Compliance Committee.

- Preparation of notes and ATRs for the Board, Board Committees, and other committees where the Compliance Department participates or is mandated.

- Centralized record maintenance for all activities of the Compliance Department.

- Obtaining self-certifications from all stakeholders.

- Management of the Whistle Blower Policy and framework.

- Management of the Anti-Bribery & Anti-Corruption Policy and framework.