1. Assist CCO in overseeing the implementation Compliance Policy asper Manuals, internal codes of conduct etc.
2. Assist in carrying out an exercise to identify and assess the major compliance risk faced by the Company and formulate plans to manage it;
3. Providing necessary ideas and inputs to the HOD in relation to the activities of the dept. and imparting necessary level of knowledge on existing and emerging regulatory compliance requirements across the Company
4. Assist in developing the annual compliance work plan that reflects the Company's unique characteristics.
5. Preparing explicit and concise compliance reports
6. Coordinating internal compliance review and monitoring activities, including quarterly reviews
7. Assist in preparing monthly, quarterly and half yearly detailed annual review of Compliance and its risk in such a manner as to assist Board members to make an informed judgment on whether the Company is managing its compliance risk effectively;.
8.
Carry out the implementation/adherence of regulatory/supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner
9. Assist in examining staff accountability in major compliance failures and Provide timely suggestions and findings based on analysis of such incidents .
10. Submit reports on Progress in the rectification of significant deficiencies and implementation of recommendations pointed out in various audits and RBI inspection reports.
11. Support in assessing risks/regulatory aspects in new product/process launches and suggesting way forward .
12. Arranging workshops and relevant external trainings as per requirements
Special Requirements
1. A fair knowledge of statutory/regulatory prescriptions, law, accountancy, risk management, information technology, etc. to enable him/her