Associate - Compliance

The Role & Responsibilities:

- Establishing and implementing contractual processes in compliance with laws, rules, and regulations

- Standardizing contracts across clients/industries to the extent possible

- Staying abreast of regulatory laws and ensuring compliance

- Providing clarification/ interpretations of guidelines to operational departments

- Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks

- Placing yearly, half-yearly reports before the SVP/MD on the compliance failures/ breaches by the operational departments & co-ordinate for rectification

- Drafting SOPs/ Policies from time to time for different processes

- Reviewing the client DDQs (Due diligence Questionnaire) and drafting responses to such client DDQs

- Reviewing the operational policies on annual basis and the work executed by the analysts

- Acting as a focal point on all matters relating to information security and disseminating regular information and advice when necessary to management and users

- Meeting and liaising with all the departments to understand & resolve their compliance concerns

- Reporting to the Head of Compliance about the team performance/ challenges and external audit matters on a weekly basis

- Liaise with the external vendors and drive the audits conducted by the external auditors

- Developing, Designing, Modifying and continually enhance the risk management strategy for the organization

- Understanding the existing IT infrastructure and vulnerabilities associated with the IT, Admin, HR industry

- Recommending measures to address any risks or vulnerabilities, ensuring compliance with the specified standards or client mandates

- Conducting & reviewing organization wide internal audits & compliance-related audits across departments