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Job Description
Role & responsibilities
1. Regulatory Compliance: Ensure organization's adherence to IFSCA, SEBI, RBI/FEMA, and SEZ guidelines and all applicable regulatory frameworks.
2. Liaison with Regulators: Liaison with regulators (IFSCA, SEZ or others) in regulatory filings, returns, and compliances.
3. Internal Policies: Develop and implement internal compliance policies and standard Operating procedures(SOPs) in alignment with regulatory requirements. Regularly review internal controls to ensure alignment with regulatory expectations.
4. Documentation and Reporting: Maintain accurate and up-to-date documentation related to compliance activities, including regulatory filings, reports, and records. Prepare and submit compliance reports to regulatory authorities as required.
5. Risk Assessment: Conduct periodic risk assessments to identify compliance risks and vulnerabilities. Develop and implement risk mitigation strategies to address identified risks effectively.
6. Training and Awareness: Provide training and guidance to employees on compliance matters, including IFSCA regulations, internal policies, and procedures. Foster a culture of compliance awareness and adherence throughout the organization
7. Investigations and Resolution: Investigate compliance breaches, incidents, and complaints. Take appropriate corrective and preventive actions to address issues and prevent recurrence.
8. Audit Support: Co-ordinate and support for audit as specified by authorities. Collaborate with auditors to provide necessary documentation and facilitate audit processes.
9. Other Tasks: Responsible for any other tasks assigned by the management from time to time.
Preferred candidate profile
Skills
Regulatory ComplianceDocumentation And ReportingLiasion With RegulationRisk AssessmentAudit SupportTraining And AwarenessInvestigation And ResolutionInternal PoliciesComplianceRegulatory ComplianceRisk MitigationCompliancesRegulatoryRegulatory RequirementsRisk AssessmentCompliance OfficerIf a job posting appears fraudulent, asks for payment, contains misleading information, or violates our guidelines, please report it immediately. Our team will review it promptly, Jobaaj does not charge any fee from the applicants.
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