Domain: Compliance (non Secretarial) Industry: BFSI, Big 4 and Management Consulting Qualification: CA / CS / LLB / MBA Post Qualification Experience: 5-8 years OVERVIEW. OF THE RISK, AUDIT AND COMPLIANCE FUNCTION: - The Risk, Audit and Compliance (RAC) division at the firm owns the integrated risk management, internal audit, and compliance aspects of the business and support functions - Compliance includes, but is not limited to, managing the day-to-day compliance aspects of the business and support functions, maintaining working relationships with senior stakeholders, conducting risk-based focused compliance reviews, providing responses to risk, audit and compliance-related queries from clients, vendors and regulators, and remaining integrated with the risk management and internal audit aspects - Risk Management includes, but is not limited to, conducting risk assessment and analysis of the business and support functions, maintaining working relationships with senior stakeholders, providing risk advisory services (as required), and remaining integrated with the compliance and internal audit aspects - Internal Audit includes, but is not limited to, leveraging the risk assessments of the business and support functions, maintaining working relationships with senior stakeholders, conducting risk-based focused internal audits of the business and support functions, following through for the entire lifecycle of observations and recommendations, and remaining integrated with the risk management and compliance aspects - The RAC division also has a specialised data analytics & engineering team, which supports the data analytics, project management, tools & workflows, and reporting requirements of the division. This team is tasked with a number of responsibilities, which includes, but is not limited to, conducting risk-based focused data analytics assessments for the business and support functions in conjunction with other members of the RAC division from risk management, internal audit, and compliance; managing the build, test and operation of tools and workflows required for risk assessment, compliance reviews, and internal audit engagements; and managing the project management aspects of a number of strategic transformation projects within the RAC division KEY RESPONSIBILITY AREAS: The incumbent will primarily be in charge of the following: - Participate in and/or manage the day-to-day operational aspects of Compliance matters related to (a) Insider Trading; (b) Conflict of Interest; (c) Contracts, Vendor & Third-Party Management; (d) Data Privacy (GDPR); (e) BCM / Resilience; (f) Client Onboarding (AML / KYC), (g) Information Security. - Build working relationships and engage closely with senior management from the Legal Practices as well as the Allied Professionals of the Firm. - Conduct periodic internal reviews to ensure that Compliance procedures are followed. - Conduct internal investigation and follow up of Compliance exceptions and issues. Adequately report and, if needed, escalate material Compliance exceptions and issues. - Contribute to and drive overall risk management strategies for the Firm, based on assessment and evaluation of relevant risks. - Develop, update, and disseminate written policies and procedures related to Compliance activities and overall risk management strategies. - Adequately and effectively use the available software technology solutions in place at the Firm to adequately provide oversight and monitoring in all required Compliance areas, including suggest continual improvements to the solution, if any - Maintain documentation of Compliance activities with a focus on prudence, parsimony, clarity and traceability. - Keep a watch on the pulse of the Firm as well as the external environment to discuss and act on emerging Compliance issues. - Provide employee training on Compliance related topics, policies, or procedures, as well as emerging topics and trends in Compliance. Participate in the development of related training content by collaborating with the Firm's L&D function. - As needed, aid internal or external auditors in Compliance reviews, including response to client or auditor queries on Compliance topics. - Prepare and present impactful management reports regarding Compliance operations and projects or initiatives. EDUCATION AND PRIOR EXPERIENCE: - CA /CS /LLB /MBA with 5+ years of relevant full-time work experience in risk management and internal audit - Having prior experience in the BFSI sector (in a corporate setting) and/or professional services firm (in advisory and/or assurance) will be an added advantage - Excellent analytical skills, with demonstrable and relevant experience in: - Detailed knowledge of Microsoft Office 365 Cloud-based applications; and, - Basic to moderate levels of data analytics, either back end (data acquisition, sanitisation, staging, etc) or front end (data reports, dashboards, dynamic queries, etc) through MS Excel and MS -SharePoint (formulae, macros, VBA) and/or other proprietary or free DA/DE tools - Well-honed interpersonal skills - Ability for multi-tasking and switching focus based on priority and demand - Attention to detail as well as the ability to appreciate the larger picture - Excellent written and oral communication

Mumbai

Noida

Kolkata

Compliance Associate - Non Secretarial - Professional Services Firm 

Compliance Associate - Non Secretarial - Professional Services Firm  ,Job Description for Compliance Associate - Non Secretarial - Professional Services Firm  in LeanFlo Inc. in  Mumbai Noida Kolkata for (3-5) years of experience. Apply Now!

Job Description for Compliance Associate - Non Secretarial - Professional Services Firm  in LeanFlo Inc. in  Mumbai Noida Kolkata for (3-5) years of experience. Apply Now!