Senior Executive

2 weeks ago


kochi, India EXL Full time

Scope for Line Compliance

Compliance to Laws/Regulatory Standards –

  • Check for Adherence to federal/state laws,
  • Check for Adherence to Regulatory Policies ,
  • Check for Adherence to Regulatory Procedures.

Compliance to Contractual Requirements –

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

Closure from Previous Audit Issues –

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

Compliance to Certification –

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

Line Compliance – Role & Responsibilities.

Meeting Compliance Requirements – Laws, Clients, Standards, Management

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

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

  • Drive compliance to processes
  • Implement new processes
  • New/changed processes as and when released
  • Report compliance to Process Owner/Core Team

Coordinate – Internal, External & Client Audits:

  • Audit Scheduling
  • Audit Preparation (as per checklists)
  • Role of Guide during external audits/client audit

Delivering & Ensuring – Training, Sessions, Review reports:

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

Delivering & Ensuring – Training, Sessions, Review reports:

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


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