Sr ManagerAssistant Vice President
Sr ManagerAssistant Vice President
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Job Description
Job Purpose:
The Sr. Manager or Assistant Vice President of Compliance to ensures adherence to
legal and regulatory standards develops and monitors compliance programs conducts risk
assessments trains employees on compliance issues investigates violations and reports to
senior management to maintain the company integrity and ethical standards.
Key Responsibilities:
Monitor all aspects of compliance relating to functions/processes assigned to the person.
Interact with WDRA (warehousing development and Regulatory Authority) officials for ensuring smooth implementation of the Regulatory
directives.
Develop systems and processes for ensuring that periodical compliance that needs to be
adhered by the Repository is met with on a regular basis
Identify critical compliance processes for close monitoring business.
Creating effective policy framework for regulatory compliance
On boarding of Repository Participants/Continued Compliance/Surrender approval
Managing the Regulatory compliance checklist for organization
Qualification:
A Member of the Institute of Company Secretaries of India or
Bachelors Degree in Law from reputed institutes
Skills & Knowledge:
Develop processes and systems to monitor key parameters for compliance within the laid
down guidelines
Implementation of controls
Ensure adherence to compliance matters
Updation and maintenance of records for all the compliance related matters on the
website
Identify critical compliance processes for close monitoring business.
Prepare regular reports/MIS and analysis for CEO/senior management/WDRA for effective
compliance mechanism.
Understanding of Repository ecosystem and operations will be an added advantage
Ability to lead a talented and motivated team of professionals
Employment Type
Full Time
