Functional Manager - Compliance Review

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Date: Mar 20, 2025

Location: NAVI MUMBAI, IN

Company: icicisecur

 

Role Description for: Manager/Senior Manager
Role Title

Manager/Senior Manager – Compliance Review

 

Function

Compliance- Compliance Review

 

Reports to – Functionally

AVP – I

Reports to – Administratively

AVP – I

Direct Reporting From

-

 

 

 

 

We are seeking a highly motivated Compliance Review Specialist to join our team who will be responsible for assessing and ensuring adherence to regulatory requirements and internal policies across the organization. This role involves conducting detailed reviews, audits, and assessments to identify compliance risks and recommend corrective actions.

I. Purpose of the role:

 

 

 

 

II. Key Responsibilities (This should reflect the process/sub-process in which the position plays a role and specifically indicate the actions to be taken.)

 

Sl No.

 

Key Responsibility

Descriptive Parameters

1.

Compliance Audits:

 

 

 
  • Perform regular compliance audits to ensure adherence to laws, regulations, and company policies.

2.

Risk Assessment:

 

 
  • Identify and evaluate potential compliance risks and recommend mitigation strategies.

 

4.

Documentation:

 

 

 

 
  • Maintain comprehensive records of compliance activities, audit findings, and corrective actions taken.

 

 

6.

Reporting:

 
  • Prepare detailed reports on audit findings, compliance status, and improvement recommendations for senior management.

 

7.

Investigations:
  • Conduct investigations into compliance breaches or potential violations and recommend appropriate actions

8.

Collaboration: 
  • Work closely with other departments to support compliance initiatives and ensure alignment with organizational goals.

 

Note:  Additional responsibilities may be added from time to time depending on organisational requirements.

Skills of required for the Profile:

  1. The candidate should have strong analytical skills and ability to assess the changes in regulations.
  2. Skills: Strong organizational, and communication skills. Proficiency in compliance management software and tools.
  3. Attention to Detail: High level of accuracy and attention to detail in reviewing documentation and assessing compliance.
  4. Ethics: Demonstrated integrity and ability to handle sensitive information with confidentiality.
  5. The candidate should be strong in decision making, problem solving and provide guidance to internal teams
  6. Overall 1-2 years of experience in stock broking compliance.
  7. Knowledge and experience in In-depth understanding of relevant regulations, industry standards, and compliance frameworks.

Qualification:

Master’s Degree or Equivalent Qualification

Certifications in Capital Market/area of Audit will be added advantage