Associate Compliance Manage - Bengaluru, India - neoworks technology llp

neoworks technology llp

Verified Company

Bengaluru, India

3 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Roles & Responsibilities
Compliance monitoring and reporting: The Associate Compliance Officer is responsible for monitoring compliance with applicable laws, regulations, and internal policies and procedures.

This may involve reviewing transactions, conducting risk assessments, and preparing reports for senior management.

Compliance training and education:

The Associate Compliance Officer is responsible for developing and delivering compliance training and education programs for employees. This may involve developing training materials, conducting training sessions, and monitoring employee completion of training.

Policy and procedure development:

The Associate Compliance Officer is responsible for developing and updating compliance policies and procedures to ensure that they reflect changes in laws and regulations.

This may involve reviewing policies and procedures, drafting new policies, and coordinating the approval and implementation of policies and procedures.
Regulatory filings and reporting:

The Associate Compliance Officer is responsible for preparing and filing regulatory reports and disclosures. This may involve gathering information from different departments, preparing reports, and submitting them to regulators.

Compliance investigations:

The Associate Compliance Officer is responsible for conducting investigations into potential compliance violations. This may involve gathering and analyzing data, conducting interviews, and preparing reports.

Risk management:

The Associate Compliance Officer is responsible for assessing and managing compliance risks associated with the broking firm's operations. This may involve conducting risk assessments, developing risk management plans, and monitoring the effectiveness of risk management activities.

Internal and external audits:

The Associate Compliance Officer is responsible for preparing for and participating in internal and external compliance audits. This may involve coordinating with auditors, gathering documentation, and providing information about compliance programs and activities

Salary:
₹300, ₹450,000.00 per year

Schedule: