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  • KPMG India Pvt Ltd
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  • 12 - 16 Years
  • Posted : above 1 month

Job Description:

Job Description

Compliance Officer

The Chief Compliance Officer (CCO) is a Director level position
that reports directly to the Managing Director (MD) and is responsible for the maintenance
and execution of GDCs compliance processes and controls, development and
delivery of regulatory guideline trainings to GDC professionals, maintaining
dialogue with member firm stakeholders regarding, Independence, confirmation
and mandatory training and other regulatory inquiries

Duties & Responsibilities

Vision and Strategy

Work with the MD and Chief Operating
Officer on the strategic vision including fostering and cultivating stakeholder

Update and maintain GDCs Enterprise
Risk Management governance framework, including identifying potential areas of
compliance vulnerability and risk; developing/implementing corrective action
plans for resolution of problematic issues, and providing general guidance on
how to avoid or deal with similar situations in the future

Develop and implement operational
compliance audits, including Independence audits

Participate or lead strategic
projects or programs as required by the MD from time to time

certain Board and Subcommittee meetings upon request

Compliance Program

initiate, maintain, and revise policies and procedures for the general
operation of the GDCs Compliance Program and its related activities to prevent
illegal, unethical, or improper conduct Manage day-to-day operation of the

review and update Code of Conduct to ensure continuing currency and relevance
in providing guidance to management and employees

to alleged violations of rules, regulations, policies, procedures, and Code of
Conduct by evaluating or recommending the initiation of investigative
procedures Oversee a system for uniform handling of such violations

with other GDC/India/US/Canadian departments (eg, Internal Audit, Human
Resources, etc) to direct compliance issues to appropriate existing channels
for any further investigation and resolution Consult with the GDC attorney as
needed to resolve difficult legal compliance issues

Active review and approval of all
potential independence and other compliance violations and any applicable waivers

review and approval of all GDC contracts and agreements


Prepare monthly ethics and
compliance reports for GDC leadership and relevant stakeholders which report,
among other things, any potential independence violations and mandatory
confirmations and trainings

with the US, Canadian, and Indian risk management counterparts in reviewing
relevant compliance reports or regulatory inquiries, which may include GDC personnel
or interests

Compliance and Secretarial

Be the first line of defense for the
MD as relates to all India compliance and regulatory affairs This includes
interpreting legislative rules and regulations to ensure compliance with all government
and regulatory guidelines and monitoring compliance

In coordination with the Chief
Financial Officer (CFO), preparation of Board Deck for Board Meeting and CSR
Meeting and ensure complying with Registrar of Company for filing of all
necessary documentation

In coordination with the CFO, be
responsible for all statutory reporting (CSR, RBI, etc) in consultation with relevant
KPMG India teams

In coordination with HR be
responsible for compliances as relates to Shop and Establishment Act, Payment
of Bonus Act, Payment of Gratuity Act, Maternity Benefit Act, the
Employees Provident Fund Act and such other Acts covered under labour laws

Support and furnish required
information to US/India/Canadian Internal Audit function as required and facilitate
presentation of audit reports to the GDC Board

an orderly and systemic filing system

personal attributes

to provide leadership to drive the organization incompliance with all
applicable laws, regulations, internal policies, and agreements

executive presence and articulation skills required to influence business
leaders and stakeholders

mind-set having keen observational qualities and an eye for detail

to drive change through strong collaborative skills and ability to work
seamlessly with cross-functional teams

relationship building and management skills


Accountancy or MBA (Finance/Accounting), and Company Secretary or LLB


12-16 years of experience, with
exposure to Accounting or Auditing

1-12 years of work experience in a
Compliance / Risk role in a similar organization

Last 4 years in senior management
positions and in supervisory capacity

Preferred to have experience above
in a Big 4 / Audit environment

Profile Summary:

Employment Type : Full Time
Eligibility : Any Graduate
Industry : Consulting Services, Financial Services/Stockbroking
Functional Area : Accounting/Tax/Company Secretary/Audit
Role : Chartered Accountant/CPA
Salary : As per Industry Standards
Deadline : 08th Mar 2020

Key Skills:

Company Profile:

KPMG India Pvt Ltdarfix

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