Principal Consultant at Fortune HR Consultant
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Senior Manager/Associate Vice President - Legal & Compliance - BFSI - LLB (5-10 yrs)
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.
- 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.