Manager EXL / M / 1120966

Job Description

Essential Functions

• Responsible for timely delivery of all compliance activities as designed.
• Innovating and improving the existing process to flush the inherent risk for the function.
• Managing the Compliance team and drive strong Org culture to ensure completion of deliverables.
• Controlling all documentation procedures finalize and timely release as per policies.
• Participating in the design, development, delivery and maintenance of best-in-class Compliance programs, policies and practices.
• Ensuring completion of all client contract requirements and highlighting risks and gaps to leadership. Also driving reperformance and action plan governance to ensure adherence
• Analyzing comparative data and preparing regional and global reports related to compliance risk assessments and monitoring of compliance related issues. Timely completion of all key reporting activities
• Mentor and guide team on all aspects of Compliance / Audit / Risk and govern trainings to enhance skillset for the role.
• Reviewing materials to ensure compliance with various regulatory and legal requirements. Identifying and addressing potential risks.
• Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management / clients on how to proceed, and preparing responses for the regulatory inquiries.
• Proactively identify issues and reports the same as Self-Identified Audit Issues (SIAI) to Corporate Audit. Highlight gaps and risks as identified during internal review and ensuring closure.
• Monitoring adherence to Compliance Risk Policies and relevant procedures.
• Preparing, editing and maintaining Compliance program related materials.
• Interacting and working with other areas within the organization, as necessary.
• Keeping abreast of internal policy changes in order to further identify new key risk areas.
• Has the ability to operate with a limited level of direct supervision.
• Can exercise independence of judgement and autonomy.
• Acts as SME to senior stakeholders / clients and / or other team members.
• Additional duties as assigned.