Compliance Manager

1 week ago

Mumbai, India Khaitan & Co Full time

Focus Areas

Conflict Check

SEBI Prohibition of Insider Trading


Qualifications: CS + LLB (Mandatory)


Post Qualification Experience: 5-12 years


Reporting to: Chief Risk, Audit and Compliance Officer


Industry: BFSI, Big 4 and other Consulting Firms


The incumbent will be part of the Compliance function, which is responsible for:


o Evaluating, analysing, reporting and managing the Compliance Matters of the Firm; and,

o Maintaining the focus on contributing to and driving the overall Risk Management Strategy of the Firm 


KEY RESPONSIBILITY AREAS


The incumbent will be expected to:


  • ▪ Participate in and manage the day-to-day operational aspects of Compliance matters related to

(a) Conflict Check;

(b) SEBI Prohibition of Insider Trading;



  • ▪ Lead the above Compliance areas, not only for the day-to-day operational aspects but also for long-term continuous improvement of the related Compliance frameworks.


  • ▪ Build working relationships and engage closely with senior management from the Legal Practices as well as the Allied Professionals of the Firm.


  • ▪ Conduct periodic internal reviews to ensure that Compliance procedures are followed.


  • ▪ Conduct internal investigation and follow up of Compliance exceptions and issues. Adequately report and, if needed, escalate material Compliance exceptions and issues.


  • ▪ Contribute to and drive overall risk management strategies for the Firm, based on assessment and evaluation of relevant risks.


  • ▪ Develop, update, and disseminate written policies and procedures related to Compliance activities and overall risk management strategies.


  • ▪ Adequately and effectively use the available software technology solutions in place at the Firm to adequately provide oversight and monitoring in all required Compliance areas, including suggest continual improvements to the solution, if any


  • ▪ Maintain documentation of Compliance activities with a focus on prudence, parsimony, clarity and traceability.


  • ▪ Keep a watch on the pulse of the Firm as well as the external environment to discuss and act on emerging Compliance issues.


  • ▪ Provide employee training on Compliance related topics, policies, or procedures, as well as emerging topics and trends in Compliance.


  • ▪ Participate in the development of related training content by collaborating with the Firm’s L&D function.


  • ▪ As needed, aid internal or external auditors in Compliance reviews, including response to client or auditor queries on Compliance topics.


  • ▪ Prepare and present impactful management reports regarding Compliance operations and projects or initiatives.



COMPETENCIES


  • ▪ Excellent analytical skills, with demonstrable and relevant experience in:

- Detailed knowledge of Microsoft Office 365 Cloud-based applications; and,

- Basic to moderate levels of Data Analytics to support Compliance day-to-day operations and projects


  • ▪ Well-honed interpersonal skills


  • ▪ Ability for multi-tasking and switching focus based on priority and demands of the organisation


  • ▪ Attention to detail as well as the ability to appreciate the larger picture


  • ▪ Excellent written and oral communication.


EDUCATION AND PRIOR EXPERIENCE


  • ▪ LLB (mandatory) + C.S. (mandatory) + MBA (preferable).


  • ▪ Prior experience as a General Counsel for an organisation will be valuable.


  • ▪ Prior experience as a DPO for an organisation will be valuable.


  • ▪ Prior experience as a Compliance Officer (for SEBI PIT) for an organisation will be advantageous.


  • ▪ Prior experience in a professional services firm will be an added advantage.


  • ▪ Prior experience in a corporate setup from the banking and financial services industry would be an added advantage.


  • ▪ Any relevant Certifications obtained will be a plus. 

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