Randstad
Location
Sahibzada Ajit Singh Nagar | India
Job description
Key Responsibilities: Regulatory Compliance: Stay up-to-date with the latest laws, regulations, and industry guidelines to ensure the institution's practices are in line and in compliance with current requirements. Interpret and communicate regulatory changes to relevant stakeholders within the organisation. Develop and maintain compliance policies and procedures that align with applicable regulations. Monitoring and Reporting: Conduct periodic compliance reviews and risk assessments to identify potential gaps and areas for improvement. Analyse and assess the institution's adherence to regulatory requirements and internal policies. Prepare reports on compliance findings and share them with Senior Management and Regulatory authorities. Training and Education: Provide training to employees on compliance-related matters to promote a culture of compliance throughout the organization. Conduct workshops or seminars to ensure staff members understand their responsibilities and obligations under the law. Compliance Investigations: Investigate and respond to compliance-related issues, such as customer complaints, suspicious activities, or potential breaches. Collaborate with internal audit and legal teams to address and resolve compliance incidents. Risk Management: Work with the risk management team to identify and assess compliance risks and develop strategies to mitigate them. Assist in developing contingency plans for potential compliance-related emergencies. Regulatory Filings and Documentation: Prepare and submit required regulatory filings and reports accurately and within specified deadlines. Maintain comprehensive documentation of compliance activities, reports, and other relevant records. External Liaison: Serve as the primary point of contact for regulatory agencies during compliance examinations and audits. Foster positive relationships with Statutory Auditors, external auditors, regulators, and other industry stakeholders. Ethics and Code of Conduct: Ensure the institution's adherence to its ethical code of conduct and promote ethical behaviour within the organisation
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