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    compliance monitoring - Gurugram, India - Wipro

    Wipro
    Wipro Gurugram, India

    1 week ago

    Wipro background
    Description

    Work Location: Wipro GDC, Plot No , Udyog Vihar, Phase - III, Gurgaon – 122016, Haryana

    Work Shifting – 01.30 pm to 11.00 pm (IST) shift Window

    Experience: 4 to 12 YEARS in UK/US pension with transition experience

    Responsibilities:


    • Ensure changes to compliance policies properly documented and communicated


    • Ensure all registrations required under Senior Managers and Certification Regime regime properly completed including all backing documentation


    • Ensure all staff training requirements carried out and properly recorded


    • Coordinate Client audit programme.


    • Manage FCA Connect


    • Dealing with all Personal Account dealing or G&E approvals and ensure all properly recorded


    • Manage Conflict of Interest disclosures and processes


    • Ensure Breach & Complaint Register maintained, and all required actions properly completed


    • Record all communication with Client relating to breaches and complaints

    Skills And Knowledge:


    • Expert regulatory knowledge and then how regulation applies across relevant business activities and oversight of such


    • Ability to work without supervision and under pressure


    • Efficient and well organised


    • Strong communication skills both written and verbal


    • Credible and assertive manner


    • Discretion, tact and resilience


    • Professional manner with the ability to influence and persuade


    • They must be a skilled communicator and able to deal with a wide variety of internal stakeholders and financial regulator

    Mandatory Skills:

    Previous Experience of Compliance Monitoring (or External or Internal Audit if also covered Regulatory Requirements) of Retail Investments (and willing & able to quickly pick up Pensions aspects if not covered before).

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