Compliance Officer and Company Secretary

4 weeks ago


Thane, India PeopleGene Full time

About the role:


  • Oversee all business operations relating to compliance including policies, investments, and procedures.
  • Design and monitor control systems to deal with violations of legal rules and internal policies.
  • Regularly assess the efficiency of control systems and recommend effective improvements.
  • Review and evaluate procedures and reports to identify hidden risks or common issues.
  • Perform periodic audits on company procedures and processes, maintain and organize compliance records.
  • Draft compliance checklists, manuals, and other regulatory documentation
  • Coordinating with different departments leads to review all departmental compliance policies.
  • Liaise with the senior management to ensure proper implementation of compliance policies.
  • Act as a confidential point of contact for employees to seek clarification on compliance issues, or report irregularities.
  • Initiates investigations, when possible, non-compliance takes place within the bank.
  • Facilitate employee training sessions on legal and compliance issues.
  • Supervise compliance officers and team, share best practices.
  • Leverage in-house synergies through collaboration with internal stakeholders.
  • Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control.
  • Create an environment that promotes collaborative learning and collective ownership of responsibilities.

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