Compliance Manager

6 days ago

Mumbai, India Skill Ventory Full time

Roles and Responsibilities Ensure due compliance under the Companies Act, 3, SEBI Regulations, FEMA, RBI and other applicable laws; Ensuring governance-related requirements are met; Assist in ensuring that appropriate Company Secretarial Practices are developed, implemented and continuously improved as per relevant regulatory requirements from time to time; Drafting/Vetting of documents to secure approvals from Board/Shareholders and other regulatory authorities; Handling compliances relating to Board/Committee meetings and related secretarial and compliance activities; Ensure accurate & timely submission of data for various due diligence and audits; Conducting an assessment of the compliance risk, identifying root cause if any, correcting compliance deficiencies identified by internal and external examinations, developing a risk- oriented activity plan for compliance assessment; Carrying out testing, monitoring, transaction-based analysis, returns monitoring and any other activity relating to risk assessment and mitigating compliance risk; Review and assessment of processes and SOPs from a Compliance Risk perspective; Carry out assessment/review on implementation of various policies, SOPs, code of conducts, etc.; Assist in analysing the Compliance risks in existing/new products and processes; Reporting to the Head on the outcome of assessment and compliance risk level in various businesses and operations; Maintaining of the dashboard on compliance risk and managing the Compliance Risk Assessment framework in accordance with the regulatory guidelines; Preparation and submission to the Head, of the monthly, quarterly, half-yearly and annual reports on compliance risk; Ensuring rectification of gaps identified in the assessment and submitting compliance report to the Head; Drafting of internal policies, processes and documentation to ensure that they are in compliance with all statutory or legal requirements.

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