02/07 Mrinalini Singh
Associate Consultant - Leadership Hiring at Crescendo Global

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Senior Manager - Compliance - BFSI - CS/CA/LLB (10-15 yrs)

Delhi NCR/Gurgaon/Gurugram Job Code: 715731

Senior Manager - Compliance

Legal job opportunity in Gurgaon for a professional holding at least 10 to 15 years- experience in Legal domain. You will use your experience in legal regulations, compliance reviews, audits & overall compliances to ensure smooth functioning and adherence in the organisation. Our client is looking for a professional eager to grow their career in as a Manager Compliance position. If this sounds exciting, apply with us!

Location : Gurgaon

Your Employer :

A leading financial services firm providing retirement and life insurance solutions for protection and long-terms services.

Responsibilities :

- Formulating process of tracking and closing compliance issues

- Preparing work papers documenting the audit procedures performed and prepare reports

- Carrying / conducting out independent and in-depth compliance reviews for Corporate Agents, HO Functions, Branch Offices and Third party service providers

- Reporting key compliance outages in various management committees and Board subcommittees like Audit Committee/Risk Committee

- Being able to close looping of completed reviews with respective process owners / branch heads for review closures

- Creating and updating model code of conduct for investment professionals as per SEBI insider trading Regulations and IRDAI Investment regulations

- Providing Trade Approvals from CCO to the connected persons within policy specified TAT

- Managing execution of Quarterly Compliance Checklists (QCCs) along with analysis of the completed QCCs to gauge adherence levels to compliance requirements in various branch offices and corporate agents

- Practicing compliance engagement with Business Partners

- Creating Compliance Awareness through awareness, and communications

- Providing Classroom Training to employees and agents through New Hire Induction, SP Training Platforms and Online Training etc.

Requirements :

- CS/CA/LLB (CS compulsory)

- 10 - 15 years of experience in legal domain and in compliance

- Experience in dealing with legal authorities is must

- Stakeholder management

- Reporting and reviewing compliance

What is in Store for You?

- An opportunity to define, lead and coordinate the operations of the company.

- An opportunity to work with a blue- chip firm in a high visibility role as a part of the leadership team.

- Work in a fast-paced environment in and established brand in financial services industry.

- A stimulating working environment with colleagues from top-tier institutes

Women-friendly workplace:

Maternity and Paternity Benefits

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