TA HEAD at Edelweiss Financial Services Limited
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Edelweiss Financial Services - Compliance Role (8-15 yrs)
- Responsible for compliance with internal guidelines as well regulations applicable to business including regulatory reporting, regulatory audits and inspections, training and awareness, providing proactive and expert compliance advisory service.
- Partnering, as appropriate, with business and support groups to manage relationships with regulators and assist with the Company's response to regulatory investigations.
- Assist management in identifying and assessing the compliance risks associated with the business activities, proposed activities and client relationships
- Development as well as assessment of adequacy of policies and procedures and other documents governing business activities to ensure compliance with applicable business regulations, resolve any identified deficiencies, and formulate proposals for revisions or amendments.
- Assist in the establishment and maintenance of processes and controls within and across business groups so that the day-to-day business activities are in compliance with applicable laws and that any breaches of such laws, rules, regulations and internal policies are detected
- Promptly alert senior management to significant compliance issues as well as periodically report to senior management / Group compliance on the effectiveness of the Company's compliance program. Promptly alert senior management to significant compliance issues.
- Keep abreast of regulatory developments or other matters affecting the business activities, systems and controls and Communicate changes to policies, procedures and regulatory requirements and oversee implementation thereof.
- Identify, investigate and resolve indications of violations to the Company's internal policies, systems and controls or to applicable laws, rules or regulations.