Sr Manager Compliance Mumbai
Year Mumbai, Maharashtra, India
Job Description
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:
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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Job Detail
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Job IdJD3074539
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationMumbai, Maharashtra, India
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EducationNot mentioned
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ExperienceYear