Manager/Senior Manager - Compliance

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.