Suash Corporate Services's Vacancy Details

Suash Corporate Services

Mumbai

BL/LLB

4-8 years of post qualification experience (LL.B / LL.M / CS) in Compliance and regulatory affairs preferably from the Insurance Industry

Company Secretary

7 to 10 lacs

A Large Private Sector Financial Services Company is seeking to hire Compliance Co-ordinator for their Mumbai Office

The Company is one of India s leading private sector financial services companies, and ranks among the top 3 private sector financial services and banking companies, in terms of net worth. The Company has interests in asset management and mutual funds, stock broking, life and general insurance, proprietary investments, private equity and other activities in financial services.
The Company also has presence in Communications, Energy, Natural Resources, Media, Entertainment, Healthcare and Infrastructure

Position: Compliance Co-ordinator

COMPLIANCE CO-ORDINATOR

Job Objective: Evangelize compliance guidelines and ensure that the same are embed in processes. Build rapport with Regulatory authorities and ensure that Company’s reputation with the regulators is commendable. Work closely with the business management to liaison with the regulators on various matters. Review and monitor compliance to various issues and complaints, follow up management action plans, maintain complaints, issues and compliance registers and report status.


Position COMPLIANCE CO-ORDINATOR
Grade Open
Location Mumbai
Reporting to
Compliance
Span of Control
(Geog & Nos of Reports)
 Enterprise-wide

Specific Responsibilities
 Co-ordinate with business / line management on all regulatory matters – such as handling applications to the regulators
 Co-ordinate with the regulators for inspections, queries and other correspondence.
 Evangelise Regulatory and Compliance guidelines proactively
 Assist business management to establish a good rapport with the regulators
 Assist Compliance staff in planing and executing Sales Compliance reviews as per the Compliance Review calendar
 Ensure new products and process cover all compliance / regulatory aspects
 Co-ordinate with line / business management and other control forums to ensure that a compliance culture is inculcated amongst the Staff
• Use Technology effectively to evangelise compliance requirements
Internal  Core Business Management
 Governance Policies / Committees
 All layers of the Organisation
External  Customers/Advisors/Regulators/Auditors
Formal Qualifications

CA / CS/ MBA / LLB / LLM

25 January 2011