Officer - Thane, India - TATA Capital
Description
**Job Purpose- To assist in ensuring that all branches comply with the company's established internal controls and external.
Core Responsibilities:
- Assist Deputy Head Compliance to monitor compliance risk and take necessary actions at the branches.
- Assist Deputy Head Compliance to conduct the compliance monitoring program and followup on the recommendations.
- Disseminate regulations received from local regulatory authorities and to follow up the regulations implementation;
- Prepare regulatory reporting owned by Compliance Department and submit on time;
- Assist Deputy Head Compliance to provide compliance trainings to staff and record the attendance.
- Followup and ensure BICs comply with the timelines set within Legatrix and update the same in the system.
- Followup with branches to ensure they submit l branch level related expenditure bills including those related to telephone, electricity, housekeeping and food bills; as well as other miscellaneos expenses as pertaining to the branch upkeep.
- Assist the Deputy Head Compliance in ensuring newly opened branches are updated with the latest documents as related to licensing, Shop and establishment compliance, wage policies etc.
- Assist concurrent audit in closing queries of documents raised in the branches.
