Lead Assistant Manager

Basic Function

Responsible for managing and reporting compliance status for business verticals/Function on requirements arising out of EXL Policies, Statutory and Regulatory requirements, SOX Compliance, vendor management, audits and other management driven requirements through internal policies

Essential Functions

• Responsible for timely delivery of all compliance activities as designed.
• Innovating and improving the existing process to flush the inherent risk for the function.
• Managing the Compliance team and drive strong Org culture to ensure completion of deliverables.
• Controlling all documentation procedures finalize and timely release as per policies.
• Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices.
• Ensuring completion of all client contract requirements and highlighting risks and gaps to leadership. Also driving reperformance and action plan governance to ensure adherence
• Analyzing comparative data and preparing regional and global reports related to compliance risk assessments and monitoring of compliance related issues. Timely completion of all key reporting activities
• Mentor and guide team on all aspects of Compliance/Audit/Risk and govern trainings to enhance skillset for the role.
• Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing potential risks.
• Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management/clients on how to proceed, and preparing responses for the regulatory inquiries.
• Proactively identify issues and reports the same as Self-Identified Audit Issues (SIAI) to Corporate Audit.
• Highlight gaps and risks as identified during internal review and ensuring closure.
• Monitoring adherence to Compliance Risk Policies and relevant procedures.
• Preparing, editing and maintaining Compliance program related materials.
• Interacting and working with other areas within the organization, as necessary.
• Keeping abreast of internal policy changes to further identify new key risk areas.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders/clients and /or other team members.
• Additional duties as assigned.

Primary Internal Interactions

• Mangers/Sr Manger
• AVP/ VPs
• Internal Audit, Corporate Compliance, ISG, Data Privacy Team

Skills

Technical Skills

• Excellent knowledge of MS Office Tools (Word, Power Point, Excel,)

• Excellent presentation skills

• Analytical Abilities

Process Specific Skills

• In depth knowledge and understanding of Compliance/Risk and importance of audits

Soft skills (Desired)

• Good knowledge of Compliance/certification related standards like PCI, SSAE18, Statutory Audits, ISO 9001, ISO 27001 etc.

• Committed and outcome oriented.

• Good interpersonal skills

• Ability to handle pressure.

• Team handling

Soft Skills (Minimum)

• Excellent communication skills (both verbal and written).

• Customer Service

• Strong networking capability and interpersonal skills

• Strong Quantitative / Numerical Aptitude
• Persistence and result oriented.

• Attention to detail

Education Requirements

Graduate/Master in relevant field

Work Experience Requirements

At least 6-8 years of relevant working experience in BPO / ITES industry, preferably in specialized role (Audit/Risk/Compliance)