Assistant Vice President-Compliance-Line Compliance

5 days ago

Philippines EXL Full time ₱1,500,000 - ₱2,500,000 per year
Description

Responsible for reporting compliance status for business verticals/Function on requirements arising out of: Client Contracts, EXL Policies, Statutory and Regulatory requirements, SOX Compliance, audits and other management driven requirements through internal policies

Responsibilities

Essential Functions

  • Responsible for review and delivery of all compliance activities as designed.
  • Partner with other line compliance functions along with compliance reporting team for updates and changes
  • Act as a bridge between Line compliance execution team, Reporting team and function leadership 
  • Innovating and improving the existing process to flush the inherent risk for the function.
  • Managing the Compliance team and drive strong Org culture to ensure completion of deliverables.
  • Participating in the design, development and delivery of best-in-class Compliance programs, policies and practices.
  • Analyzing comparative data and preparing regional and global reports related to compliance risk assessments and monitoring of compliance related issues. 
  • Mentor and guide team on all aspects of Compliance/Audit/Risk and govern trainings to enhance skillset for the role.
  • Investigating and assisting in responses to compliance risk issues. Investigating regulatory inquiries, preparing required documentation, making recommendations to senior management/clients on how to proceed, and preparing responses for the regulatory inquiries.
  • Coordination with audit teams for issue closure, action plan status and audit exits.Proactively identify issues and reports the same as Self-Identified Audit Issues (SIAI) to Corporate Audit.
  • Ownership of all documents and maintenance as per policy reuirements
  • Interacting and working with other areas within the organization, as necessary.
  • Keeping abreast of  internal policy changes in order to further identify new key risk areas.
  • Can exercise independence of judgement and autonomy.
  • Acts as SME to senior stakeholders/clients and /or other team members.
  • Additional duties as assigned.
Qualifications

Education:

Bachelor's or Master's degree in Business Administration, Finance, Accounting, Law, or any related field.

Additional certifications in Compliance, Risk Management, or Audit (e.g., ISO, SOX, PCI, or equivalent) are an advantage.

Work Experience:

Minimum of 10–15 years of experience in the BPO/ITES industry, with solid exposure to Compliance, Risk, or Audit functions.

Proven experience in managing compliance operations, leading audits, and driving process improvements across multiple business functions.

Experience in stakeholder management and handling client or regulatory audits preferred.

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