Sr Manager Compliance Mumbai
Published date: 2024/01/10
- Location: Mumbai, Maharashtra, India
Purpose / key objective of role:
The role requires the employee to execute the tasks allotted by the reporting manager(s), in relation to the following compliance areas:
Regulatory updates and implementation- Review regulatory updates and regular tracking and implementation of any regulatory requirements and any other compliance matters.
Advisory role with respect to processes- Providing advisories to stakeholder on various regulatory aspects.Engage with partners and stakeholders to enable compliance related onboarding and servicing processes.
Agreement review- Review intermediary and service partner agreements.
Regulatory Monitoring and reporting- Ensuring monitoring and risk mitigation along with timely analysis and regulatory reporting. Relook at existing processes and evaluate/implement automation to reduce people dependency and errors. Ensure record keeping of Compliance departmental records in line with regulatory requirements.
Regulatory engagement- Engaging with regulators through representations, draft responses and notes on various compliance matters.
Management engagement- Engaging with management on certain requirements and escalations, preparing presentations etc.
The role requires the employee to execute the tasks allotted by the reporting manager(s), in relation to the following compliance areas:
Regulatory updates and implementation- Review regulatory updates and regular tracking and implementation of any regulatory requirements and any other compliance matters.
Advisory role with respect to processes- Providing advisories to stakeholder on various regulatory aspects.Engage with partners and stakeholders to enable compliance related onboarding and servicing processes.
Agreement review- Review intermediary and service partner agreements.
Regulatory Monitoring and reporting- Ensuring monitoring and risk mitigation along with timely analysis and regulatory reporting. Relook at existing processes and evaluate/implement automation to reduce people dependency and errors. Ensure record keeping of Compliance departmental records in line with regulatory requirements.
Regulatory engagement- Engaging with regulators through representations, draft responses and notes on various compliance matters.
Management engagement- Engaging with management on certain requirements and escalations, preparing presentations etc.
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