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compliance manager in Pune

posted:
location
pune, maharashtra
function
Legal, Regulatory & Intellectual Property
position type
permanent
reference number
926743
contact
randstad india
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job description

?Job Description for Compliance Manager
1. Lead the efforts for securing Central bank license to offer financial brokerage services. Assist the Board in strategic communications with policy makers.
2. Assist in the determination of an appropriate org structure; evaluating and recommending financial and strategic alternatives.
3. Develop compliance and risk management related documents, policies, procedures and strategies.
4. Assist in drawing up various marketing strategies to accelerate the penetration of forex brokerage services in Central Asia and UAE.
5. Act as liaison with external clients and international financial intermediaries.
6. Coordinate on issues identified for compliance and do the necessary follow-up or liaison.
7. Create policies and procedures related to compliance activities.
8. Ensure that all compliance and other regulatory policies and procedures have been documented and communicated to the related employees and third parties.
9. Assist in preparation of appropriate compliance reports with regulatory agencies.
10. Consult with attorneys or solicitors as necessary to address legal and compliance issues. Provide assistance to auditors in inspection or review of matters pertaining to risks & compliance.
11. Provide employee training on compliance related topics, policies, or procedures.
12. Discuss emerging regulatory, legal and compliance issues with management.
13. Remain informed regarding industry changes, trends, and best practices and assess the potential impact of these changes on the existing organizational processes.
14. Planning and developing an overall risk management process for the organization consisting of risk assessment, risk evaluation and risk reporting.
15. Collaborate with other departments to ensure resolution of compliance issues.
16. Prepare and provide reports as and when requested to management regarding compliance, risk and governance matters.
17. Establish and provide direction and management of the compliance matters.





Benefits
?Location - Magarpatta Pune

Client Introduction
?Client of Randstad

skills

?compliance manager, contract, regulatory compliance, legal, corporate legal

qualification

?Job Description for Compliance Manager
1. Lead the efforts for securing Central bank license to offer financial brokerage services. Assist the Board in strategic communications with policy makers.
2. Assist in the determination of an appropriate org structure; evaluating and recommending financial and strategic alternatives.
3. Develop compliance and risk management related documents, policies, procedures and strategies.
4. Assist in drawing up various marketing strategies to accelerate the penetration of forex brokerage services in Central Asia and UAE.
5. Act as liaison with external clients and international financial intermediaries.
6. Coordinate on issues identified for compliance and do the necessary follow-up or liaison.
7. Create policies and procedures related to compliance activities.
8. Ensure that all compliance and other regulatory policies and procedures have been documented and communicated to the related employees and third parties.
9. Assist in preparation of appropriate compliance reports with regulatory agencies.
10. Consult with attorneys or solicitors as necessary to address legal and compliance issues. Provide assistance to auditors in inspection or review of matters pertaining to risks & compliance.
11. Provide employee training on compliance related topics, policies, or procedures.
12. Discuss emerging regulatory, legal and compliance issues with management.
13. Remain informed regarding industry changes, trends, and best practices and assess the potential impact of these changes on the existing organizational processes.
14. Planning and developing an overall risk management process for the organization consisting of risk assessment, risk evaluation and risk reporting.
15. Collaborate with other departments to ensure resolution of compliance issues.
16. Prepare and provide reports as and when requested to management regarding compliance, risk and governance matters.
17. Establish and provide direction and management of the compliance matters.



apply now