Job Details
Sr Manager Compliance Mumbai
  • 3 to 7 Yrs
  • Mumbai
  • Sr. Manager- II
Job description

Purpose / key objective of role:


The role requires the employee to execute the tasks allotted by the reporting manager(s), in relation to the following compliance areas:


• Regulatory updates and implementation- Review regulatory updates and regular tracking and implementation of any regulatory requirements and any other compliance matters.


• Advisory role with respect to processes- Providing advisories to stakeholder on various regulatory aspects.Engage with partners and stakeholders to enable compliance related onboarding and servicing processes.  


• Agreement reviewReview intermediary and service partner agreements. 


• Regulatory Monitoring and reporting- Ensuring monitoring and risk mitigation along with timely analysis and regulatory reporting. Relook at existing processes and evaluate/implement automation to reduce people dependency and errors. Ensure record keeping of Compliance departmental records in line with regulatory requirements. 


• Regulatory engagement- Engaging with regulators through representations, draft responses and notes on various compliance matters. 


• Management engagement- Engaging with management on certain requirements and escalations, preparing presentations etc.