Review the Compliance Policies and SOPs and undertake changes basis recent updates and on review of dynamic risks associated with business to ensure better control which comply to recent regulations.
Obtain necessary approvals from relevant stakeholders and ensure PAN India implementation via rigorous training and continuous updates.
Review the SOP to ensure completeness and suggest course changes as required based on inputs received from various stakeholders.
Requirements
Internal:
Conduct regular reviews with the audit teams and suggest any course corrections, discuss findings with the Management and decide on the process improvements.
Monitor the process improvements to ensure that proper process controls are implemented.
Provide timely MIS data on key parameters to the Manager Compliance and Ethics and the Business Heads
External:
Co-ordinate with the external audit teams to provide data and information during external audits.
Support function to Business for time closure of audits.
Discuss and finalise the management response. Implement any process improvements basis the audit findings.