107 Compliance Monitoring Jobs - Page 5

Kroll s Compliance Consulting practice assists clients in setting up firms, obtaining their initial regulatory authorization or registration, and providing them with ongoing regulatory compliance advice to navigate the rapidly changing regulatory landscape. Below are the roles and responsibilities for the Analyst , Compliance Consulting role based in India: Day-to-day responsibilities: Supporting the management of a portfolio of clients regulated by regulators in Hong Kong, Singapore, the United States, and other global regulators. Supporting APAC licensing applications for financial institutions. Assisting with preparing compliance training materials for clients. Providing support in the preparation of compliance policies and procedures. Assisting in the setting up of compliance infrastructure and ongoing compliance monitoring, including email reviews and other communication reviews. Assisting in conducting due diligence reviews along with other thematic reviews. Assisting the process of managing client s use of research consultants and expert network providers, which may include sampling and chaperoning calls, identifying any regulatory risks and drafting call report summaries. Providing support on clients regulatory filing and reporting across Asia-Pacific. Providing ad hoc regulatory compliance advice and creative solutions. Drafting and developing compliance monitoring reports / compliance monitoring plans. Managing regulatory filing and reporting schedules. Essential traits: Proven 2-3 years experience in a regulatory / compliance role or audit role, focusing on the financial services industry. General understanding of financial and/or regulatory compliance rules and regulations. Qualified Chartered Accountants would be preferred. Clear, logical thought processes, ability to make decisions and articulate these clearly. Strong English, oral and written communication skills is key. Time management skills and ability to work within deadlines. Prerequisites Driven and able to work both independently in their own initiative and collaboratively as part of a team. Solution-driven and problem-solving attitude. Understanding of the alternative asset management industry. Previous experience in audit and/or legal and compliance is a plus. About Kroll In a world of disruption and increasingly complex business challenges, our professionals bring truth into focus with the Kroll Lens. Our sharp analytical skills, paired with the latest technology, allow us to give our clients clarity not just answers in all areas of business. We embrace diverse backgrounds and global perspectives, and we cultivate diversity by respecting, including, and valuing one another. As part of One team, One Kroll, you ll contribute to a supportive and collaborative work environment that empowers you to excel. Kroll is committed to equal opportunity and diversity, and recruits people based on merit. In order to be considered for a position, you must formally apply via careers. kroll. com #LI-IK1 #LI-Hybrid

Role & responsibilities: Assistance required with managing the Employee Compliance Operations and Policy and Advisory team in executing BAU Tasks, which includes: Reviewing Employee Disclosures: Examine employee disclosures of personal trading accounts and undertake necessary actions, such as initiating feed set-up formalities, account closure notifications, and performing routine follow-up on outstanding items. This includes account onboarding/set-up formalities with employees and/or brokers (e.g., completion of feed set-up consent formalities, managed account forms) and updating trackers to ensure accurate tracking of outstanding/in-progress volumes. Reviewing Post-Trade Exceptions: Identify potential non-compliance by reviewing post-trade exceptions and dispositioning such exceptions in accordance with relevant procedures while adhering to documentation standards. This involves thorough analysis and documentation to ensure compliance with regulatory requirements. Reviewing Employee Transactions: Review employee transaction confirmations and any quarterly statements requiring Employee Compliance team's review. Update employee holdings in the PTA system to ensure accurate record-keeping and compliance with internal policies. Reviewing Terminated Employee Accounts: Examine terminated employee accounts and ensure timely initiation of feed disconnection requests. This involves coordinating with relevant departments to ensure that all necessary actions are taken promptly. Resolving Personal Trading Data Issues: Resolve and reconcile any personal trading data issues, such as mismatches in account numbers or incorrect security set-ups, to address any data load errors. This requires attention to detail and effective problem-solving skills to ensure data integrity. Supporting the Employee Compliance Policy and Advisory Team: Assist in reviewing team mailboxes to ensure timely allocation of employee queries/requests based on the subject matter of the query/email. This involves prioritizing and categorizing queries to ensure efficient handling and resolution. Reviewing Mailboxes for Employee Responses: Review mailboxes to examine employee responses and update all relevant process trackers to accurately track closure/progress on outstanding items. This ensures that all actions are documented and tracked effectively. Routine Follow-Up: Conduct routine follow-up with employees for transaction confirmations and quarterly statements to ensure timely and accurate reporting. This includes maintaining communication with employees to verify transaction details and ensure compliance. This role requires a proactive approach to compliance management, strong analytical skills, and the ability to work collaboratively with global teams to ensure adherence to regulatory requirements and continuous improvement of compliance processes Preferred candidate profile: Prior experience in compliance, risk management, or a related field within the financial industry or operations background is advantageous. Strong attention to detail, analytical skills, and problem-solving capabilities. Ability to multi-task and prioritize across multiple projects and assignments; must be able to deliver and meet timelines in a fast-paced global project environment. Strong communication skills. Benefits : Fixed pay / Cab provided / Hybrid Contact : Kishore Kumar HR / kishore.kumar@russelltobin.com / 9384052856

We are hiring for an Assistant Manager Operations with mandatory experience in UK Insurance (Motor Insurance) . This role offers an exciting opportunity to lead operational excellence, ensure compliance, manage team performance, and drive process improvement within a dynamic insurance environment. Your Future Employer - A globally recognized organization offering world-class operations and customer service support for international insurance clients, fostering a culture of excellence, innovation, and continuous development. Responsibilities - 1. Managing day-to-day operations while ensuring client-defined service level metrics (SLAs) are being met. 2. Leading team scheduling, leave management, and transport coordination 3. Ensuring accurate and timely reporting of productivity and performance metrics 4. Conducting monthly appraisals, one-on-ones, confirmations, and maintaining employee records 5. Developing and managing incentive programs to boost team motivation 6. Driving at least one productivity initiative annually using LEAN or Six Sigma methodologies 7. Monitoring compliance and legal standards with a target of achieving zero defects 8. Handling daily issue logs related to operations, IT, QA, etc. 9. Ensuring team members are being punctual, utilizing leaves effectively, and following proper shift schedules 10. Escalating any incidents that may impact productivity to leadership Requirements - Graduation is mandatory for the role. Prior experience in UK Insurance either P&C Insurance or Health Insurance but Motor Insurance (mandatory) Strong operational management, team leadership, and stakeholder coordination skills Experience in productivity tools, quality monitoring, and service excellence frameworks Exposure to LEAN or Six Sigma practices preferred What is in it for you - Opportunity to work with global insurance clients A fast-paced role with strong career progression potential Exposure to quality-focused operations and process improvement methodologies A collaborative and structured work culture Reach us: If you think this role is aligned with your career, kindly write to me along with your updated CV at vasu.joshi@crescendogroup.in for a confidential discussion on the role. Disclaimer: Crescendo Global specializes in senior to C-level niche recruitment. We are passionate about empowering job seekers and employers with an engaging and memorable job search and leadership hiring experience. Crescendo Global does not discriminate on the basis of race, religion, colour, origin, gender, sexual orientation, age, marital status, veteran status, or disability status. Note: We receive a high volume of applications daily, so if you dont hear back from us within a week, please assume your profile was not shortlisted. Your patience is appreciated. Stay Alert: Scammers may misuse Crescendo Globals name for fake job offers. We never ask for money, purchases, or system upgrades. Verify all opportunities at www.crescendo-global.com and report any fraud immediately. Profile Keywords: Crescendo Global, Jobs in Bangalore, Assistant Manager Operations Jobs, UK Insurance Process Jobs, Life & Pensions operations Jobs, Motor Insurance operations Jobs, Insurance BPO, Team Lead Insurance Jobs, SLA Management, Six Sigma in Insurance, Productivity Improvement Jobs

The candidate will be responsible for the protection of the premises, assets, visitors and residents while maintaining a high visibility presence. Role & responsibilities Candidate must be able to represent the core values of integrity, vigilance, and excellence of the Company. Assume overall responsibility for the safety and security of designated area and over all campus. Shall report to Security Officers and in their absence, take charge of the entire shift. Brief about the security duties and responsibilities to the Guards and Supervisors. Must be able to compile all reports and observation, and share it to the SO. Patrol designated areas in accordance with outlined security procedures Identify potential security risks and respond accordingly Complete incident reports and required documentation for all security incidents Ensure all employees and visitors have proper credentials for accessing buildings (ID badges and passes) Respond to emergencies and incidents within designated areas promptly and according to policy Assist employees and visitors with any concerns they might have Escalate emergency situations to law enforcement as needed Monitor alarms and security cameras Should be able to work under high pressure situation and handle emergency situations (Fire, Bomb Threat, Terrorist Attack etc.) as directed tactfully by utilizing security team effectively. Handle outrages, physical assault or highly tensed situations. Preferred candidate profile Is able and adept to perform the assigned paper work along with proficiency in operating computer system (Excel, word and e-mails) Proficient communication (written and verbal) skills. Able to handle the outrage Able to pass a background check Previous security-related work experience in Hotels shall be preferred Able to stay level headed and respond quickly in stressful situations Comfortable kneeling, carrying, bending, walking, and standing for extended periods of time; basically able to perform continuous physical exertion as needed. Working knowledge of basic security techniques Experience of 3 years in Physical security.

About the RoleWe are seeking a highly experienced professional to join our Central Business Team as a Sr. Manager - Business Risk and Compliance for our Merchant Business. This critical role will serve as the primary bridge between our regulatory/compliance team and business team, ensuring our offline payment aggregator business in the Indian market operates efficiently while adhering to all relevant regulations.Key Responsibilities1. Regulatory Interpretation and Business Translation Interpret regulatory notifications and guidelines, translating them into clear, actionable business strategies. Stay abreast of emerging regulatory guidelines and business operating environments to prepare internal guidelines that mitigate potential risk scenarios. 2. Risk Assessment and Mitigation Evaluate underlying business risks and prescribe remediation frameworks that balance risk management with growth opportunities. Develop and implement risk control strategies to minimize financial and legal impacts on our merchant acquiring operations. 3. Regulatory Relationship Management Leverage and enhance existing relationships with Regulatory Bodies. Build strong working relationships with regulatory entities where absent. 4. Policy Development and Implementation Design, review, and update acquiring risk policies, ensuring alignment with industry best practices and regulatory requirements. Collaborate with internal risk, operations, and compliance teams, as well as relevant third parties, to ensure comprehensive risk policy development. 5. Strategic Risk and Compliance Advisory Support the formulation and finalization of risk and compliance strategies, providing expert guidance and recommendations to senior management. Prepare detailed documentation, conduct gap analysis, and generate reports to support risk management efforts and policy compliance. 6. Team Leadership and Development Lead projects related to risk management and compliance initiatives. Train and mentor team members on risk management best practices, fostering a culture of compliance within the organization. Qualifications Minimum of 7+ years of relevant experience in writing, deploying, and managing acquiring risk policies, preferably in a regulated entity. Master's degree in Finance, Business Administration, or related field from a Tier-I institution; advanced degree preferred. Bachelors degree from a Tier-I institution with commensurate experience and certifications will be considered as well. Proven track record as a subject matter expert in the financial services industry, with in-depth knowledge of governing regulations, reporting procedures, and record-keeping guidelines. Strong understanding of payment industry regulations and compliance requirements, particularly in the Indian market. Exposure to business operations with a growth orientation to build 'Risk and Compliance' as a strong differentiation factor. Skills and Attributes Exceptional stakeholder management, project management, and collaboration skills. Critical thinking and problem-solving abilities, with a data-driven approach to decision-making. Excellent communication skills, both written and verbal, with the ability to translate complex regulatory language into clear business terms. Strong analytical skills with the ability to foresee potential risks and develop proactive mitigation strategies. Adaptability and resilience to thrive in a fast-paced, evolving regulatory environment. What We Offer Opportunity to play a crucial role in shaping the risk and compliance strategy of a leading offline payment aggregator in India. Collaborative work environment with exposure to cutting-edge fintech solutions. Competitive salary and benefits package commensurate with experience. Professional development opportunities and potential for career growth

We are seeking an experienced Investment Compliance Manager to join our Capital Markets and Investment Operations division. The ideal candidate will bring deep knowledge of pre- and post-trade compliance, regulatory monitoring, and hands-on expertise with tool like Charles River. You will work closely with global stakeholders, traders, portfolio managers, and audit teams to ensure our investment activities remain compliant with client mandates and regulatory guidelines. Key Responsibilities: Oversee investment guideline monitoring for mutual funds, UCITS, and institutional portfolios, ensuring adherence to SEC 1940 ACT, prospectus, and internal restrictions. Conduct pre-trade and post-trade compliance reviews. Interpret investment mandates and extract rules to build and maintain compliance rule matrices. Manage the transition of clients from legacy systems (e.g., MIG21) to CRD, ensuring accurate rule migration and testing. Lead and mentor a team of analysts , driving performance management, technical training, and process improvement. Collaborate with cross-functional teams for client onboarding, change management, and audit support. Conduct compliance testing, investigations , and root cause analysis on rule violations and trading exceptions. Analyze exception-based reports for AML, market manipulation, and short-term trading risks. Maintain and update restricted securities/watchlists , investment policies, and procedural documentation. Provide compliance reporting and metrics to senior management, regulators, and auditors

Greetings for Delhi NCR Residents. If you are holding 1 year having Experience and looking for a KYC Onboarding profile in Gurgaon. Telephonic Interviews are being conducted. Required Candidate Profile Min 1 year of International KYC Analyst (Oboarding experience. Other Requirements: - Strong Interpersonal, Communication and Listening Skills. - Must possess Excellent Verbal Communication. Salary: 31,000 in hand per month plus allowances and incentives . Shift: 24x7 (Rotational) Work Days: 5 days working with Rotational Shifts ## NO REGISTRATION CHARGES ## Interested Candidates can Call or Whatsapp Resume Simran- 9821182647 Mehvish- 9628373766 Riya- 9628373761 Not for candidates pursuing full time Graduation Regards, Simran H.R. TEAM KVC CONSULTANTS LTD