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– Responsible for the support and implementation of Risk & Compliance efforts for the company and promotion of an ethical and legally compliant business culture. Partner with senior management and regional compliance teams to achieve desired compliance results.
– Is accountable for ensuring participation and execution of compliance standards in the areas of Compliance policy enforcement, Professional Standards, Client Service Agreements, Errors & Omissions (E&O), and Learning (HR).
– Actively participates on appropriate executive, leadership, and/or operating committees, so as to ensure the Risk & Compliance function is integrated with business operations.
– Responsible of managing regulatory relationship with and reporting to local bureaus across China.
– Responsible for conducting process reviews with members of the local office and/or department compliance network to ensure transparency processes and procedures are effectively implemented and utilized.
– Responsible for ensuring all TPP submissions, renewals and payments comply with company policy and procedure; ensure on time submission and renewal.
– Interpret regulations/directives and global/regional policies; and develop procedures, policies, processes and training to support the compliance function in conjunction with all internal and external standards and regulations and communicates and executes within the country/practice.
– Authorized to investigate all compliance and procedural issues including recommendations to the Risk and Compliance committees for consequences of potential non-compliance based on facts identified through the investigation process under auspices of Internal Review & Response.
– Provides input to senior operational leadership on the status of compliance, transparency, and overall professional liability performance of colleagues.
– Responsible for implementing an effective E&O network and ensuring effective processes exist to address E&O Prevention (Pre Loss) and Mitigation (Early Intervention Committee Reviews Oversight).
– Partners with E&O coordinator in triaging, investigating, mitigating, and closing claims as well as assisting in reviewing claims history, identifying trends, and developing awareness education to avoid repeatable incidents.
Member of India Risk & Compliance committee or any similar effort of the company.,:
Professional StandardsAccountabilityRisk & ComplianceTransparencyEnforcementRenewals
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