To assist in formalisation, ongoing updation of compliance certificates across all regulated departments. To monitor certificates submitted as received from respective departments and identifying compliance gaps, if any. To assist in handling department queries on regulatory matters and providing resolution thereof. To assist in conducting Annual & Ongoing Compliance Risk Assessments to identify critical functions/ departments from the perspective of compliance Risk To conduct compliance review in accordance with the ACB approved plan and identifying the compliance risks the Company is exposed to To conduct reviews to ensure sustenance of Compliance To review any new products deployed by the company for a period of 6 months to ensure adherence to requirements To review control deployed for mitigating compliance risks for a period of 6 months from the date of deployment To get the training content updated by communicating compliance matters To ensure conduct of root cause analysis for compliance gaps identified, examine staff accountability for high & critical compliance failures and suggest suitable action to the disciplinary committee To periodically circulate the instances of compliance failures among staff, along with the required preventive instructions To maintain MIS/ dashboards for onward submission to senior management/ Board To effectively deploy compliance tools and ensuring end to end closure within timelines prescribed To ensure adherence to compliance policy and related SOPs.
Job Title
Compliance Manager