Job Description:

Responsibilities Assumed

- Ensuring staff compliance to the compliance manual at all times

- Conducting staff compliance audits periodically as per the compliance calendar and maintaining the breach tracker

- Intimating the employees of their breach status and escalating it to the compliance head in case of a dispute

- Collecting evidence from the different process owners/ departments and validating their Self-audit questionnaires

- Designing monthly scores for such self-audit questionnaires and reporting to the compliance head for review

- Drafting SOPs and ensuring compliance to SOPs at all times

- Conducting Internal Audits across departments as per the audit calendar and preparing the draft audit report

- Preparing and maintaining the ATR (action taken report) and following-up with the process owners for closure of ATR points

- Staying abreast of regulatory/ international laws and ensuring compliance at all times

- Conducting compliance training sessions for new and existing employees periodically

- Providing clarification/interpretations of guidelines to employees/ users/ operational departments

- Accessing the compliance risks on new products/processes and suggest steps for mitigation of risks

- Reviewing the SOPs on annual basis


- Sound understanding of auditing/ compliance

- Strong eye for detail

- Good command over written and spoken English

- Ability to meet deadlines and good time management skills

- Proficiency with Excel and PowerPoint

- 2 - 3 years- experience in Compliance/ Internal Audit role with consulting firms - upper mid-size/ BIG 4s or with leading investment bankers, etc

- Ability to work well under pressure with tight deadlines while delivering high-quality output

Candidate Qualification & Experience

- Graduate/post-Graduate/Company Secretary with 2+ years of experience

Profile Summary:

Employment Type : Full Time
Salary : Not Mentioned
Deadline : 20th Apr 2020

Key Skills:

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