Senior Compliance Officer

6 days ago

Gurgaon, Haryana, India FRI FIL India Business and Research Services Private Limited Full time

About this role

The Senior Compliance Officer will be responsible for supporting the Group Code of Conduct and Ethics teams in India and Dalian. This includes ensuring all monitoring and reporting activities are carried out effectively.

Key responsibilities

  • Prepare various reporting for Intelligence and Operations team like board report, senior management reporting
  • Develop and regularly provide reports containing statistics from the personal trade monitoring system
  • Regular production of reports/ dashboards on a periodic basis with focus on quality and consistency of data
  • Regularly conduct monitoring of employee classification to ensure employees are classified according to the guidance issued. Where misclassification identified, liaise with HR and other relevant persons. Answer questions related to classification changes
  • Work with the different teams to streamline/ continuously improve existing process
  • Support the Intelligence and Operations team in India and Dalian with reviewing and addressing employee violations of the Personal Conflicts, Trading and Price Sensitive Information Policy. This entails seeking employee explanations for breaches identified, assisting with performing manual testing,
  • Support Intelligence & Operations team members with reaching out to employees in situations where duplicate reporting does not appear to be set up by employees.
  • Perform review the personal account dealing violation letters as per the code enforcement guidelines.
  • Provide information for DDQ (due diligence questioners) to difreent teams.
  • Support team members with other intelligence or monitoring activities carried out by the team and provide back-up coverage when needed.
  • Assist with providing information to Internal Audit or Compliance Monitoring when requested.
  • Develop and maintain procedures for the various activities conducted by this role.
  • Monitor the team's mailbox for any correspondence related to the activities carried out by the team and respond to all relevant correspondence.
  • Assist in tracking and coordination of key operational processes like RCSA.

  • Senior Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India INNOVISION Limited Full time

    Job Opportunity: Senior Executive Compliance / Senior Manager ComplianceLocation: Gurgaon, HaryanaIndustry: Security & Facilities Management CompanySalary: 40k to 60kJob Summary:As a Senior Compliance Manager, you will be responsible for ensuring compliance with labour laws, including ESI, PF, and Contractual Labour Act. You will develop and implement...

  • Senior Compliance Officer

    2 weeks ago

    Gurgaon, Haryana, India INNOVISION Limited Full time

    Company OverviewINNOVISION LIMITED is a leading provider of customized security solutions, focusing on delivering value-driven services to clients.Job OverviewThis is a mid-level, full-time role in Gurgaon, requiring 4-6 years of experience.Key Qualifications and SkillsExcellent communication skills, with proficiency in Ms Office.Effective problem-solving...

  • Senior HR and Compliance Officer

    3 days ago

    Gurgaon, Haryana, India Glan Management Consultancy- Career, Jobs, Hiring Full time

    **Job Title:** Senior HR and Compliance Officer**Job Summary:** We are seeking a seasoned Senior HR and Compliance Officer to lead our HR and compliance functions. The ideal candidate will have a strong background in HR and compliance, with experience in implementing policies and procedures, and ensuring compliance with local and international labor...

  • Compliance Officer

    2 weeks ago

    Gurgaon, Haryana, India INNOVISION Limited Full time

    Job Opportunity: Senior Executive Compliance / Senior Manager ComplianceIndustry: Security & Facilities ManagementKey Responsibilities:Develop and implement compliance strategies for ESI, PF, Contractual Labour Act, and other lawsMonitor and update policies based on changes in labour lawsConduct audits to assess complianceLiaise with regulatory agencies and...

  • Compliance Officer

    2 weeks ago

    Gurgaon, Haryana, India Indifi Full time

    Key Responsibilities:1. Compliance Management:- Develop and implement debt collection compliance policies and procedures.- Ensure adherence to federal, state, and local regulations and guidelines.- Conduct regular audits to identify and address compliance issues and adjust for regulatory changes.2. Agency Governance:- Manage relationships and compliance with...

  • Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India RedeFin Capital Full time

    Job Title: Compliance OfficerAt RedeFin Capital, we are seeking a highly skilled Compliance Officer to join our team. As a key member of our organization, you will play a critical role in ensuring our company's compliance with all relevant laws and regulations.Key Responsibilities:Compliance Management: Develop and implement effective compliance programs to...

  • Senior Compliance Manager

    1 week ago

    Gurgaon, Haryana, India INNOVISION Limited Full time

    Job Opportunity: Senior Executive Compliance / Senior Manager ComplianceIndustry: Security & Facilities Management CompanyJob Summary:As a Senior Compliance Manager at INNOVISION Limited, you will be responsible for ensuring compliance with labour laws (ESI, PF, Contractual Labour Act) through meticulous oversight, strong analytical skills, and effective...

  • Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India RedeFin Capital Full time

    Job Title: Compliance OfficerAt RedeFin Capital, we are seeking a highly skilled Compliance Officer to join our team. As a key member of our organization, you will play a critical role in ensuring that our company operates in compliance with all relevant laws and regulations.Key Responsibilities:Compliance Management: Develop and implement effective...

  • Compliance Officer

    2 weeks ago

    Gurgaon, Haryana, India Talent Ro Full time

    Job SummaryTalent Ro is seeking a seasoned Compliance Officer to lead our regulatory compliance efforts. As a key member of our team, you will be responsible for developing and implementing effective compliance programs to ensure our organization adheres to applicable laws and regulations.Key ResponsibilitiesDevelop and maintain a comprehensive compliance...

  • Compliance Officer Senior Executive

    7 days ago

    Gurgaon, Haryana, India exl Full time

    Job DescriptionDetailed below are the key responsibilities for the Senior Executive role at EXL:Single Point of Contact for Contractual ComplianceAct as the primary point of contact for contractual compliance related to daily business operations, ensuring seamless execution and adherence to agreed-upon terms.Compliance Process DevelopmentDevelop and...

  • Senior Governance and Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India Sun Life Full time

    Job DescriptionAs a Senior Executive in Governance, Risk, and Compliance, you will play a critical role in ensuring the company's adherence to regulatory requirements and internal policies. Your primary responsibility will be to develop a strong understanding of business and system processes, monitoring internal control effectiveness, and performing regular...

  • Senior Governance and Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India Sun Life Full time

    Job DescriptionAs a Senior Executive in Governance, Risk, and Compliance, you will play a critical role in ensuring the company's adherence to regulatory requirements and internal policies.Key Responsibilities:Develop a deep understanding of business and system processesMonitor internal control effectivenessPerform regular compliance testing and assessments,...

  • Compliance Officer II

    3 weeks ago

    Gurgaon, Haryana, India HELLA Full time

    Job Title: Compliance Officer IIFORVIA HELLA is a leading international automotive supplier, and we are seeking a highly skilled Compliance Officer II to join our team. As a Compliance Officer II, you will play a critical role in developing and implementing our compliance management system, ensuring that our business practices align with regulatory...

  • Chief Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India UNLOCK BUSINESS CONSULTING Full time

    Chief Compliance OfficerUnlock Business Consulting is seeking a seasoned Chief Compliance Officer to lead our compliance and regulatory vertical. As a key member of our team, you will be responsible for ensuring that our organization adheres to all applicable laws and regulations, as well as our company policies and procedures.Key Responsibilities:Develop...

  • Senior Compliance Specialist

    2 days ago

    Gurgaon, Haryana, India Genpact Full time

    As a Senior Compliance Specialist at Genpact, you will play a key role in ensuring the highest standards of quality in our KYC operations. Your extensive experience in conducting quality checks on completed KYC files will be invaluable in this position.Responsibilities:Conduct quality checks on completed KYC files as per established quality frameworks and...

  • Chief Compliance Officer

    3 weeks ago

    Gurgaon, Haryana, India UNLOCK BUSINESS CONSULTING Full time

    Chief Compliance OfficerUnlock Business Consulting seeks a seasoned Chief Compliance Officer to lead our regulatory compliance efforts. As a key member of our team, you will be responsible for ensuring our organization adheres to applicable laws and regulations.Key Responsibilities:Develop and maintain a comprehensive compliance program to ensure adherence...

  • Senior Compliance Auditor

    2 days ago

    Gurgaon, Haryana, India ADCI - Maharashtra Full time

    Roles and ResponsibilitiesWe are seeking a highly skilled and experienced Senior Compliance Auditor to join the Transportation Risk and Compliance (TRC) team at ADCI - Maharashtra. The successful candidate will be responsible for assessing Amazon Middle Mile Carriers to ensure they operate compliantly with contractual, legal, and regulatory requirements.Key...

  • Senior Audit and Compliance Manager

    2 weeks ago

    Gurgaon, Haryana, India ADCI - Maharashtra Full time

    Job Title: Senior Audit and Compliance ManagerJob Summary:We are seeking a highly skilled Senior Audit and Compliance Manager to join our Transportation Risk and Compliance (TRC) team at ADCI - Maharashtra. The successful candidate will be responsible for assessing Amazon Middle Mile Carriers to ensure they operate compliantly with contractual, legal, and...

  • Senior Compliance Associate

    3 weeks ago

    Gurgaon, Haryana, India Moody's Full time

    About Moody'sMoodys is a global integrated risk assessment firm that empowers organizations to make better decisions. We value diversity and inclusion, and we're committed to creating a workplace where each person can be their true self, reach their full potential, and thrive on every level.Job SummaryWe're seeking a Senior Compliance Associate to join our...

  • Senior Compliance Specialist

    3 weeks ago

    Gurgaon, Haryana, India Moody's Full time

    About Moody'sMoodys is a global integrated risk assessment firm that empowers organizations to make better decisions. We value diversity and inclusion, and we're committed to creating a workplace where each person can be their true self, reach their full potential, and thrive on every level.Job SummaryWe're seeking a highly skilled and experienced Senior...