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Job Location | Chennai |
Education | Not Mentioned |
Salary | Not Disclosed |
Industry | IT - Software |
Functional Area | Sales / BD |
EmploymentType | Full-time |
1. 5 years of expereince in developing principles/standards and procedures for compliance with supervisory compliance requirements in the execution of transactions and for protecting the company against operational compliance risks;
2. advising the specialist departments on the creation/further development of control procedures to avoid breaches of regulatory obligations, in particular those of the Banking/ Payments Act, AML Act, etc.;
3. advising on the identification, treatment and involvement in the rectification of breaches of regulatory compliance requirements;
4. participation in the new product process;
5. precautions to protect against unfair offers/transactions;
6. advice on the identification, control and avoidance of conflicts of interest;
7. coordination in cross-group conflicts;
8. conducting compliance and special investigations and/or intervention law;
9. exercising its control function, compliance with the obligations under the Banking Act and Payments Act and other regulatory standards (guidelines of good conduct, principles of conduct);
10. supporting the compliance function in its role as central point of contact for state supervisory authorities, the Federal Association and auditors;
11. expansion, evaluation and coordination of compliance reporting;
12. development / maintenance / standardization of policies, execution regulations (guidelines, manuals) etc. with a special compliance reference, e.g. guidelines for employee transactions;
13. informing the superior about all important processes in the area of responsibility;
14. managing conflicts of interest (identification, control, prevention), coordination in cross-group conflicts of interest;
15. design and control of information barriers, including information flow analysis;
16. conducting compliance and special investigations in individual cases;
17) Ongoing monitoring of employee transactions with regard to insider violations or market abuse;
18. whistle-blowing and complaint management (if any);
19. development / definition of compliance content for employee training;
20. ongoing development, coordination and evaluation of a compliance reporting system;
,Keyskills :
ms officeinformation flow employee trainingoffice operations complaint managementcompliance reporting regulatory compliancefinan