Director- Legal and Compliance

Role : Director- Legal and Compliance

Location : Mumbai

Experience : 10 to 12 years

Qualification : LLB,CS

Job Description :

Execute risk-based compliance testing to review and assess the effectiveness of the Firm's policies and procedures including recommending corrective action plans for gaps identified from testing.

Execution of reviews from initiation to completion including executing and documenting detailed walkthroughs of key processes to identify internal controls, developing, executing, and overseeing substantive testing of control and related procedures, and ultimately reporting identified issues.

Communicating with Business Unit(s) and Compliance Coverage (as required) during various stages of review.

Prepare written reports describing the tests conducted, results and corrective action plans.

Coordinate with Compliance testing personnel to track the progress of the test plan for reporting to senior management.

Track status of corrective action plans agreed upon with the business.

Track internal audit reviews and findings and review internal audit work-papers to identify opportunities to leverage their reviews for compliance testing.

Remain current on industry rules, regulations, and best practices to make recommendations to the testing program.

Developing and maintaining strong working relationships with Business, Compliance, Legal and Risk groups

Presentation of findings and recommendations to Compliance Managers in the Regional Compliance Testing Teams

Understanding of SEC Rule 206(4)-7 to undertake procedural checks for IM business