Job Profile:

• Perform risk assessments to understand risk level, significance, and scope
  
• Keep up to date with, and understand relevant laws and regulations
  
• Monitor compliance with laws, regulations, and internal policies
  
• Ensure that your findings are recorded and followed up with management so that issues can be rectified
  
• Educate employees on not only the regulations but also the impact on the organization if these aren't complied with
  Investigate irregularities and non-compliance issues
  
• Report back to business functions on current risk and compliance performance
  
• Highlight or escalate areas of concern
  
• Contribute to robust and effective compliance controls within the organization
  
• Review marketing materials, presentations, and websites to ensure compliance with regulatory requirements
  
• Assist in the gathering of internal information in response to regulatory requests
  
• Perform various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
  
• Collaborate with other departments to create a culture of compliance.
  
• Additionally, you need to perform compliance testing of various products and processes pertaining to, trade, treasury, credit, etc. in line with regulations issued by RBI, SEBI, FEMA, etc.
  
• Liaison with the regulator for audit and info reqs.
  
• Providing guidance to business units and follow-up on corrective action to be taken for identified compliance breaches/ incidents.
  
• To assist business units on regulatory developments and requirements.
  
• Collecting and coordinating internal compliance data from various departments.
  
• Prepare and provide compliance reports to the senior management.
  
• Manage secretarial matters and manage board-level communications and outreach