HR at NorthernArc Capital Ltd
Views:2061 Applications:76 Rec. Actions:Recruiter Actions:0
Northern Arc Capital - Associate Vice President - Compliance (5-8 yrs)
- To be responsible for compliance relating to (i) all regulatory and statutory obligations applicable to Northern Arc Capital (ii) identified sustainable development and responsible investing standards
- Be a critical connect between the regulatory/statutory bodies and the Northern Arc Capital's management and its verticals. The role entails building a compliance culture encompassing awareness, execution of business strategies in line with compliance stipulations, pro-active advice on new product/processes and escalations on actual/potential non-compliance
- Play a central role in the area of identifying the level of compliance risk in each business line, products and processes and issue instructions to operational functionaries / formulate proposals for mitigation of such risk
- Assess internal guidelines on products/processes/policies for compliance with regulatory guidelines - prior to finalization of such internal product/process/policy guidelines
- Incorporate a robust mechanism to ensure that (i) regulatory guidelines / instructions are promptly issued / disseminated within the organization. (ii) monitor compliance with the regulatory guidelines/ instructions (iii) highlight the instances of compliance failures
- Serve as a reference point for the teams from other departments for seeking clarifications/ interpretations of various regulatory and statutory guidelines
- Work in close co-ordination and partnership with other Verticals to ensure Businesses operate under the requisite stipulations advised by regulators/statutory bodies
- Monitor and test compliance by performing sufficient and representative compliance testing and the results of such compliance testing would be reported to the Senior Management
- Consider ways to measure compliance risk (e.g. by using performance indicators) and use such measurements to enhance compliance risk assessment.
- Fulfill specific statutory responsibilities (e.g. calendarizing and ensuring filing of returns to Statutory Bodies, Stock Exchange filings, fulfillment of other listing responsibilities in terms of disclosures etc.)
- Liaison for various Inspections by regulator(s) and closure of observations made
- Co-ordinate for comprehensive review and reporting on compliance issues and actions at yearly/quarterly/monthly basis as may be decided by the Board/ACB/CEO
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.