Senior Manager/Associate Vice President - Legal & Compliance - BFSI - LLB

Sr. Manager/AVP Legal

KEY ACCOUNTABILITIES :

END RESULTS KEY ACTIVITIES :

- Establishing effective compliance framework - Support in creating new policies and guidelines.

- Support in implementing code, policies and guidelines.

- Support in creating employee awareness about changes in the laws, regulation and internal policies.

- Provide advises on Compliance related queries.

- Works with IT in creating compliance systems and processes.

Regulatory Compliance :

- Track and evaluate changes in laws and regulations governing Credit Rating Agencies.

- Ensure timely interpretation and communication on such changes to impacted stakeholders.

- Support in establishing procedures to ensure all statutory/ regulatory requirements are met.

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

- Support in a due diligence sign off process, regulatory filings, licenses and proper authority obligations.

- Ownership of the compliance tool for reporting and tracking all compliance requirements

Audit, Inspections & Reviews :

- Provide support during periodic regulatory audits and inspections.

- Provide support and co-ordinate handling investigations being conducted by regulator or any other investigating / quasi-judicial authority.

- Support in design and implementation of the compliance monitoring/ surveillance program.

Compliance risk management :

- Support in implementation of Risk management framework with focus on delivering remedial actions addressing Legal and compliance risk.

Others :

- Support in conducting Compliance training & awareness sessions.

- Participate in other Compliance projects as may be necessary.

EXPERIENCE & QUALIFICATIONS :

- Law Degree

- Preferable Compliance background from BFSI industry

- Preferable experience of previously worked in a multinational company

CORE COMPETENCIES :

- Legally astute with experience in handling regulatory requirements, internal company code of ethics, policies and guidelines.

- Strong communication and analytical skills.

- Able to work independently and as part of a small team.

R. Rahul