Regulatory Specialist
7 days ago
Our organization is seeking a Compliance Officer to ensure adherence to regulatory requirements and internal standards.
The selected candidate will oversee internal processes, vendor risk, regulatory filings, and compliance training initiatives.
- Key Responsibilities:
- Compliance Audit and Reporting: Conduct comprehensive reviews and maintain documentation to ensure adherence to regulatory requirements and internal standards.
- Corporate Governance Review: Evaluate the organization's governance framework to ensure alignment with regulatory expectations and industry best practices.
- Internal Controls and Process Audits: Review and assess internal processes to identify control gaps and support the implementation of robust internal controls.
- POSP Compliance Review: Audit onboarding, training, and operations of Point of Sales Persons (POSPs) in accordance with applicable compliance guidelines.
- Business Continuity and Disaster Recovery Review: Support the implementation and testing of Business Continuity Planning (BCP) and Disaster Recovery (DR) frameworks.
- Training and Awareness Programs: Develop and conduct regular training sessions on AML/KYC norms, cybersecurity, and operational risk management.
- Documentation for Regulatory Filings: Assist in preparing and submitting timely, accurate documentation for statutory filings such as shareholding changes, periodic returns, etc.
- Gap Analysis and Risk-Based Recommendations: Conduct gap analyses to identify areas of non-compliance and provide tailored, risk-based recommendations.
- Third-Party Vendor Due Diligence: Perform compliance and risk assessments on third-party vendors to ensure appropriate controls are in place.
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