Compliance Officer and Company Secretary - Thane, India - PeopleGene

Description

About the role:

• Oversee all business operations relating to compliance including policies, investments, and procedures.
• Design and monitor control systems to deal with violations of legal rules and internal policies.
• Regularly assess the efficiency of control systems and recommend effective improvements.
• Review and evaluate procedures and reports to identify hidden risks or common issues.
• Perform periodic audits on company procedures and processes, maintain and organize compliance records.
• Draft compliance checklists, manuals, and other regulatory documentation
• Coordinating with different departments leads to review all departmental compliance policies.
• Liaise with the senior management to ensure proper implementation of compliance policies.
• Act as a confidential point of contact for employees to seek clarification on compliance issues, or report irregularities.
• Initiates investigations, when possible, non-compliance takes place within the bank.
• Facilitate employee training sessions on legal and compliance issues.
• Supervise compliance officers and team, share best practices.
• Leverage in-house synergies through collaboration with internal stakeholders.
• Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control.
• Create an environment that promotes collaborative learning and collective ownership of responsibilities.