Compliance Monitoring
1. Develop Compliance monitoring program across the verticals/products and delegate the same for a calendar year.
2. Plan and perform monitoring activity in line with the compliance monitoring program.
3. Reporting of the Compliance monitoring program outcomes to the management/committee.
4. Maintain an issue tracker report and ensure closure of the issues.
Governance
1. Develop internal policies/SOP’s and ensure they are up to date.
2. Ensure Compliance policies and SOP’s are followed in spirit and is in line with the regulatory requirements.
Audit
1. Assisting the team during the course of any Audit (Internal and External) and ensuring closure of the existing as well as identified issues.
Skills
• Risk assessment skills - as a large part of the role will be identifying compliance risks and non-financial risks.
• Audit Skill - this will help the candidate to perform reviews in a planned way and will also benefit the company in getting quality issues identified. -
• Communication skills - to successtully communicate the findings to both management and employees.
• Attention to detail - to spot certain aspects of rules and regulations that are crucial/non-crucial.
• Moral integrity - need to understand and promote the importance of complying with rules and regulations.
• Problem-solving skills- many compliance issues have no straightforward solution and compliance need to ensure and find ways of complying with rules and regulations without negatively affecting the company's operations.