VP - Compliance

Key Responsibilities:

The function assists the COE Compliance Head in providing overall Compliance support to all units within the organisation from the perspective of local regulations and Firm policies.

The key responsibilities are as below:

- Assisting the COE Compliance Head in providing compliance support to COE’s activities.

- Ensuring effective Compliance oversight on all activities carried out by COEs.

- Providing advisory on regulatory requirements and Firm policies to the business units in COEs.

- Monitoring and testing the activities of the units to ensure that the units are complying with regulatory requirements and Firm policies, and maintaining a record of such monitoring and testing.

- Tracking changes in the regulatory requirements in the organisation and informing concerned units promptly.

- Also updating the RRI / RRM of the organisation.

- Ensure that new hires are given training on the Compliance policies and procedures. Maintaining a record of training. Attending to regulatory queries and reporting.

- Work closely with units and Control functions to identify potential issues and take prompt corrective actions.

- Escalate potential issues to senior management, as appropriate.

- Ensure that the RRIs, RCSA and other monitoring / testing programs / processes are carried out effectively within Compliance.

- Engage in reviewing new business initiatives and activities, and also periodic review of the activities of the units.

- Assist COE Compliance Head in achieving goals set for India Compliance.

Knowledge/ Experience:

The position requires 8 - 10 years experience of working in the Compliance / control function of banking captives or any reputed outsourcing organizations. Prefer a person who has knowledge of Infosec and STPI requirements.

Qualifications:

Post graduate, CA or CS, Management graduate or Law

Please mail your CV at purnima@pylonmc.com