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 &amp; 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

Delhi NCR

Gurgaon/Gurugram

Senior Manager - Compliance - BFSI - CS/CA/LLB 

Senior Manager - Compliance - BFSI - CS/CA/LLB  ,Job Description for Senior Manager - Compliance - BFSI - CS/CA/LLB  in Crescendo Global in  Delhi NCR Gurgaon/Gurugram for (10-15) years of experience. Apply Now!

Job Description for Senior Manager - Compliance - BFSI - CS/CA/LLB  in Crescendo Global in  Delhi NCR Gurgaon/Gurugram for (10-15) years of experience. Apply Now!