Compliance Executive 21O25

The Compliance Executive is a critical role within an organization, responsible for developing and maintaining a robust compliance framework to ensure that business processes and transactions comply with all relevant legal, ethical, and regulatory standards. The Compliance Executive maintains detailed records of compliance activities and oversees a team to cultivate a culture of compliance within the company. This role involves collaborating with various departments to assess company operations, identify risks, and implement corrective actions. The Compliance Executive is often a key player in readiness for regulatory audits and acts as a liaison with regulatory bodies. This position demands exceptional analytical skills, attention to detail, and a proactive approach to identifying and mitigating compliance risks, along with excellent communication skills to effectively promote compliance awareness across the organization.

Responsibilities

• Develop and implement compliance policies and procedures to ensure regulatory adherence.
• Conduct regular audits and assessments to identify potential compliance risks and gaps.
• Collaborate with departments to ensure all activities align with laws and regulations.
• Maintain and update records of all compliance-related documents and activities accurately.
• Monitor compliance across the organization and report findings to senior management.
• Lead investigations into compliance issues and recommend corrective actions as needed.
• Coordinate with external auditors and regulatory bodies during compliance audits and inspections.
• Provide training and support to staff to foster a compliance-focused culture organization-wide.
• Stay up-to-date with new regulations and adjust company practices to ensure compliance.
• Develop metrics and reporting systems to track compliance performance across the company.
• Prepare comprehensive compliance reports for internal use and external audits.
• Act as a point of contact for compliance queries and issues within the organization.

Requirements

• Bachelor's degree in business, law, finance, or a related field is preferred.
• Minimum of 3-5 years of experience in a compliance role or similar position.
• Strong knowledge of industry regulations, compliance practices, and risk management principles.
• Excellent analytical, investigative, and problem-solving skills to manage compliance issues.
• Exceptional verbal and written communication skills to liaise with various stakeholders.
• Detail-oriented with the ability to manage and prioritize multiple tasks efficiently.
• Proficiency with compliance software and tools used for audits and reporting.