Compliance Monitoring Manager Wipro Limited

3.0 - 7.0 years

0 Lacs

vadodara, gujarat

On-site

As a Compliance Monitoring Manager at Servaada, a Wipro company, you will play a crucial role in overseeing compliance monitoring for retail investments and pensions. You will be instrumental in leading the delivery of strategic deals and contributing to the development of financial outsourcing services. Servaada, authorized by the FCA, specializes in providing regulated outsourcing services within the Financial Services industry to leading providers for pension schemes and investment platforms. Your responsibilities will include designing an annual monitoring plan, identifying control gaps, proposing solutions, and ensuring risks are mitigated in alignment with regulatory expectations and client requirements. You will actively participate in the Compliance Risk Assessment Process, provide relevant reporting to inform management of compliance risks, and monitor regulatory developments to stay informed about potential impacts on the company's risk profile. In addition to maintaining compliance logs and programs, you will collaborate with the Compliance Team to establish in-house controls and procedures and promote a positive compliance culture within Servaada and Wipro. Your role will require a high level of accuracy, independence, and the ability to work effectively within a small team environment. Strong communication skills, regulatory knowledge, and the capability to work under pressure are essential for this position. The ideal candidate will have previous experience in compliance monitoring for retail investments, staff management experience, and a willingness to quickly grasp pensions aspects if not previously covered. Desirable skills include expertise in regulatory knowledge, ability to work independently, efficient organization, and effective communication. A professional demeanor, tact, resilience, and the ability to influence stakeholders are also crucial for success in this role. As a Compliance Monitoring Manager, you will have the opportunity to make a meaningful impact on the lives of our clients and beneficiaries. If you have a passion for monitoring, a deep understanding of investment services, and a commitment to assisting customers in their financial journey, we invite you to apply and join our dedicated team at Servaada. Servaada is dedicated to creating a diverse and inclusive work environment and welcomes applicants from all backgrounds. We are committed to fostering a culture of equality, diversity, and inclusion within the Wipro family.,

Posted 5 days ago

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Assistant Manager Market Conduct (FPU) Bajaj Allianz Life

3.0 - 4.0 years

6 - 8 Lacs

Pune

Work from Office

PRINCIPAL ACCOUNTABILITIES: - Grievance Investigations Conducting investigation by coordinating with customer as well as distributor for grievance investigation and resolution Report Preparation Creating an investigation report for consequence management as well as closure of customer grievance Root Cause Analysis Analysis of the grievances and create a channel level grievance mitigation steps Identifying Process Gaps, RCA & fixing Handling of Customer Escalations, Grievances, Emails and Feedback with best appropriate resolution in accordance with the laid down guidelines Coordination and follow up with key stakeholders for end to end clearance of cases and closures • Transaction processing in the ambit of the role Work on automation/analysis on new system requirements Tracking and validation with required MIS/Dashboard Closely work with UAT and Data Quality team members to ensure all developments are in sync with business requirements Manage all assigned responsibilities other than MIS/BA 100% Compliance to all internal, external and regulatory processes, guidelines and norms Responsibility, Ownership and Customer Centricity to ensure timely closures with minimalistic supervision Fungibility to contribute to various other Operational requirements for the team goals

Posted 2 months ago

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