Compliance Officer
- Kiya.ai
- 5 - 10 years
- Chennai
- 18 days ago
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Job Description
Opening: Compliance Officer
Direct Responsibilities
I. Roll out and monitor adherence to Compliance Policies
- Manage Professional Ethics (PE) related activities and controls
- Ensure adherence to existing Compliance Policies including Personal Account Dealing (PAD) Policy, Gifts & Invitations Policy, Outside Business Interest Policy, Professional Code of Conduct Policy, Anti Bribery and Corruption Policy
- Review new policies rolled out and implement the same for ISPL, as applicable / appropriate
- Manage Financial Security (FS) related activities and controls over clients, vendors, employees and operational aspects
II. Review of Transition related documents
- Review Service Level Agreements (SLA), Activity Review Process (ARP) and Risk Assessment (RA) documents from service provider Compliance perspective
- Interact with the service recipient Compliance team and seek their views / opinions / conditions and ensure all requirements are implemented and managed adequately
- Maintain repository of transition related Compliance approvals
III. Compliance Trainings
- Conduct and facilitate compliance trainings (mandatory and targeted) for ISPL staff
- Regularly communicate policies and major changes / highlights through various channels
IV. Ensure deployment of robust control framework
- Rolling out and performing controls based on service recipient compliance/regulatory requirements for offshored activities (e.g. voice recording, Chinese Wall, etc.) and also local requirements and analyzing results of the same to identify and mitigate the relevant risks
- Coordinate on compliance related incidents and ensure appropriate action plans are put in place
- Perform regular compliance check and challenge on RCSAs and control plan gap analysis to ensure applicable risks are identified and suitable mitigating controls are in place/proposed
- Review queries on outsourcing and technical assessments from compliance perspective
V. Reporting
Preparation of various MIS, dashboards and other compliance reports
Contributing Responsibilities
- Coordination with various departments / mtiers / functions / countries
- Communication across all levels to ensure management directions including group guidelines are understood
- Organization & co-ordination of compliance-related awareness-raising and training action
- Participating in new compliance projects and initiatives
- Contributing to preparation of compliance decks in various committees and forums
Technical & Behavioral Competencies
- General knowledge of Capital Markets and sound understanding of Financial Security matters
- Prior Compliance, Audit, Risk, Inspection or Permanent Control experience will be a considerable plus
- Experience of working in international banking business structure
- Strong English communication skills
- Stakeholder management skills
- Self-motivated and result oriented, with the ability to identify & solve issues and work under pressure
Mode : Hybrid
5 Days / 2 Off
Location : Chennai(Only Chennai location, no relocation
Job Classification
Industry: Investment Banking / Venture Capital / Private EquityFunctional Area / Department: Risk Management & ComplianceRole Category: Risk Management & Compliance - OtherRole: Risk Management & Compliance - OtherEmployement Type: Full timeContact Details:
Company: Kiya.aiLocation(s): Chennai
Keyskills: Capital Market Compliance SLA Service Level Agreement
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