Senior Executive

2 weeks ago


Cochin, Kerala, India EXL Full time

Scope for Line Compliance

Compliance to Laws/Regulatory Standards –

  1. Check for Adherence to federal/state laws,
  2. Check for Adherence to Regulatory Policies ,
  3. Check for Adherence to Regulatory Procedures.

Compliance to Contractual Requirements –

  1. MSA/SOW related clauses (checklists).
  2. Understand SLA targets – SOW / MSA.

Closure from Previous Audit Issues –

  1. Open Items from previous audits (internal & External).
  2. Robustness of the action plan for closures.
  3. Timeliness of action planning.

Compliance to Certification –

  1. Adherence & awareness to Organization wide Policies & Procedures.
  2. BCP & DRP Compliance.
  3. Documentation and Data Control.

Line Compliance – Role & Responsibilities.

Meeting Compliance Requirements – Laws, Clients, Standards, Management

  1. Client Specific BCP tests and Reports
  2. Meeting policy requirements for compliance
  3. Assists in maintaining ISO Documents
  4. Driving closure of Audit and Test reports
  5. Ensuring timelines for deliverables towards BCP, ITIS, ExlMS, SOX, Client

Support – IT/InfoSec, BCM, Deployment of Policies, Processes and controls in operations/ function:

  1. Drive compliance to processes
  2. Implement new processes
  3. New/changed processes as and when released
  4. Report compliance to Process Owner/Core Team

Coordinate – Internal, External & Client Audits:

  1. Audit Scheduling
  2. Audit Preparation (as per checklists)
  3. Role of Guide during external audits/client audit

Delivering & Ensuring – Training, Sessions, Review reports:

  1. SOX Compliance checklist
  2. Information Technology Information Security
  3. BCP- Walk through tests, Evacuation Drill , HOT Test (Emergency Processes)
  4. FERT (Floor Emergency Response Team)
  5. Internal reviews to ensure Compliance

Delivering & Ensuring – Training, Sessions, Review reports:

  1. SOX Compliance checklist
  2. Information Technology Information Security
  3. BCP- Walk through tests, Evacuation Drill , HOT Test (Emergency Processes)
  4. FERT (Floor Emergency Response Team)
  5. Internal reviews to ensure Compliance


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