Manager - Legal Compliance - BFSI Sector

Department - Legal & Compliance

Location - Gurgaon

Position reporting to - AVP-Compliance

Job Purpose :

Be a part of ICRA Compliance function and assist in implementing ICRA's compliance program in an effective manner which will facilitate detecting, preventing and responding to non- compliance

Key Responsibilities :

Operational Responsibilities :

- Track and evaluate new developments/changes in laws and regulations governing Credit Rating Agencies and Other Regulatory Updates. Performing gap analysis and ensure timely communication on such changes to impacted stakeholder.

- Monitor adherence with compliance policies, codes, and procedures and support in creating employee awareness about such policies.

- Prepare periodic and ad-hoc reports as may be necessary as per regulatory requirements/ requests and manage regulatory filings.

- Assist in conducting compliance reviews / monitoring and preparing compliance reports for senior management based on regulatory reviews, internal audits and compliance surveillance.

- Assisting in investigating and responding to complaints.

- Manage compliance tools for tracking/reporting all compliance requirements and contribute in compliance related projects

- Provide support during periodic regulatory audits/ inspections; regulatory investigations or any other investigating / quasi-judicial authority.

Qualifications

- Post Graduate Degree/Professional Qualification

Experience

- 6 - 8 years with preferably upto 3 years of compliance experience in BFSI sector.

Functional Competencies

- Working knowledge of capital market and BFSI regulations

- Exposure to Internal Auditors and Regulatory Audits

- Ability to work independently under tight deadlines

- Conversant with basic work applications (such as Excel, PowerPoint, etc.)

Key Interactions

Internal

- Nature or purpose of interaction

- Senior Leadership

- Operational head of various functions

- Head - Internal Controls

- Compliance Team

- General Counsel/SVP - Compliance

- Moody's Compliance & Legal

External

Nature or purpose of interaction

External Auditors

- Internal Auditors appointed under SEBI CRA Regulations

Statutory and Regulatory Authorities

- SEBI/RBI Inspection teams