Senior Associate - Compliance - Financial Services

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