HR at Leading Financial Services Provider
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Senior Associate - Compliance - Financial Services (5-10 yrs)
Responsibilities Assumed:
- Establishing and implementing contractual processes in compliance with laws, rules, and regulations
- Standardizing contracts across clients/industries to the extent possible
- Staying abreast of regulatory laws and ensuring compliance
- Providing clarification/interpretations of guidelines to operational departments
- Developed SOPs for all major processes
- Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks
- Placing yearly half-yearly reports before the SVP/MD on the compliance failures /breaches by the operational departments & co-ordinate for rectification
- Reviewing the operational policies on an annual basis
- Acting as a focal point on all matters relating to information security and disseminating regular information and advice when necessary to management and users
- Developing, Designing, Modifying and continually enhance the risk management strategy for the organization
- Understanding the existing IT infrastructure and vulnerabilities associated with the IT, Admin, HR industry
- Recommending measures to address any risks or vulnerabilities, ensuring compliance with the specified standards or client mandates
- Conducting compliance-related internal audits across departments
Prerequisites:
- Good exposure to Contract Management, Risk Compliance & IT Compliance
- Sound understanding of SOC II and ISO 27001
- Familiarity with the contract and corporate laws of the country
- Strong eye for detail
- Excellent command over written and spoken English
- Ability to meet deadlines and good time management skills
- Proficiency in Excel and PowerPoint
- Self-starter with a strong work ethic and high energy levels
- Ability to work well under pressure with tight deadlines while delivering high quality and output
Experience:
- 5-10 years plus experience of working in Compliance role with Investment Banking companies, Captives, 3rd parties
Candidate Qualification:
- University Degree (B.com/M.com)
- LLB Law, PG CS, CA
Compensation:
- Commensurate with industry standards
Job Location:
- Mumbai/Pune/ Bangalore
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