Assistant Manager-Compliance-Line Compliance

4 weeks ago


Pasay, National Capital Region, Philippines EXL Full time
Overview

Join to apply for the Assistant Manager-Compliance-Line Compliance role at EXL. Basic Function: Responsible for managing and reporting compliance for Third Party Administration requirements arising out of client contracts, 3rd party certifications, statutory and regulatory requirements, SOX compliance, and other management-driven requirements through internal policies and external statutes and regulations, including FINRA.

Responsibilities
  • Manage the Documentation and Control requirements for all Level 3 documentation for the vertical.
  • Coordinate the Internal, External & Client Driven Audits and preparation thereof.
  • Conduct awareness trainings on Information Security and company policies and procedures.
  • Support Compliance Officer.
  • Support Regulatory Compliance processes.
  • Engage in other compliance-related activities as/when assigned.
Qualifications / Seniority
  • Seniority level: Mid-Senior level
  • Employment type: Full-time
  • Job function: Legal
  • Industries: Business Consulting and Services

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