TCS - Risk & Compliance

- Conduct periodic internal reviews or audits to ensure that compliance procedures are followed.

- Conduct or direct the internal investigation of compliance issues.

- Assess product, compliance, or operational risks and develop risk management strategies.

- Identify compliance issues that require follow-up or investigation.

- Disseminate written policies and procedures related to compliance activities.

- File appropriate compliance reports with regulatory agencies.

- Verify that software technology is in place to adequately provide oversight and monitoring in all required areas.

- Serve as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.

- Maintain documentation of compliance activities, such as complaints received or investigation outcomes.

- Consult with corporate attorneys as necessary to address difficult legal compliance issues.

- Discuss emerging compliance issues with management or employees.

- Advise internal management or business partners on the implementation or operation of compliance programs.

- Review communications such as securities sales advertising to ensure there are no violations of standards or regulations.

- Provide employee training on compliance related topics, policies, or procedures.

- Provide assistance to internal or external auditors in compliance reviews.

- Prepare management reports regarding compliance operations and progress.

- Monitor compliance systems to ensure their effectiveness.

- Keep informed regarding pending industry changes, trends, and best practices and assess the potential impact of these changes on organizational processes.

- Design or implement improvements in communication, monitoring, or enforcement of compliance standards.

- Verify that all firm and regulatory policies and procedures have been documented, implemented, and communicated.

- Direct the development or implementation of compliance-related policies and procedures throughout an organization.

Desired exposure (to specific skill set): Knowledge of Risk Management, Assessment & Mitigation Techniques

Qualifications:

- Minimum of an: Any UG/PG with Computer Science Background

- Certifications like: ISO27001.