The remit of your role will cover but not limited to:
- Perform risk assessments to understand risk level, significance and scope
- Keep up to date with, and understand relevant laws and regulations
- Monitor compliance with laws, regulations and internal policies
- Ensure that your findings are recorded and followed up with management so that issues can be rectified
- Educate employees on not only the regulations but also the impact on the organisation if these aren't complied with
- Investigate irregularities and non-compliance issues
- Report back to business functions on current risk and compliance performance
- Highlight or escalate areas of concern
- Contribute to robust and effective compliance controls within the organization
- Review marketing materials, presentations, and websites to ensure compliance with regulatory requirements
- Assist in the gathering of internal information in response to regulatory requests
- Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
- Collaborate with other departments to create a culture of compliance.
- Additionally, you need to perform compliance testing of various products and processes pertaining to, trade, treasury, credit, etc. in line with regulations issued by RBI, SEBI, FEMA, etc.
- Liaison with the regulator for audit and info reqs.
- Providing guidance to business units and follow up on corrective action to be taken for identified compliance breaches/ incidents.
- To assist business units on regulatory developments and requirements.
- Collecting and coordinating internal compliance data from various departments.
- Prepare and provide compliance reports to senior management.
- Manage secretarial matters and manage board-level communications and outreach
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