
Assistant Manager-Compliance-Line Compliance
4 weeks ago
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.
- Seniority level: Mid-Senior level
- Employment type: Full-time
- Job function: Legal
- Industries: Business Consulting and Services
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