risk and compliance officer

Unienrol Guru Tech Private Limited

Overview:The Risk and Compliance Officer will assist the Board and the Executive Team of Unienrol Guru in managing enterprise risks and monitoring compliance with applicable regulatory, legislative, and policy frameworks.Key Responsibilities:1. Risk Management:o Operationalise and maintain Unienrol Guru&rsquo;s risk management, critical incident, and business continuity frameworks and plans.o Ensure alignment of Unienrol Guru&rsquo;s governance, risk, compliance, and strategic objectives.o Identify and monitor emerging risks, including those related to academic programs, student support, and operational processes.o Assist managers in undertaking specific risk assessments.o Maintain the risk register and update the senior management on key risk areas.o Ensure risk controls and treatment plans are carried out effectively.2. Compliance Monitoring:o Develop, implement, and maintain Unienrol Guru&rsquo;s compliance framework, including the compliance register.o Monitor institutional compliance with the Higher Education Standards Framework (HESF), the National Code of Practice for Providers of Education and Training to Overseas Students 2018 (National Code), the Education Services for Overseas Students Act 2000 (ESOS Act), and the Australian Qualifications Framework (AQF).o Maintain up-to-date knowledge of legislative changes affecting the higher education sector.o Monitor compliance with the requirements of the Tertiary Education Quality and Standards Agency.o Provide advice on compliance risks and develop mitigation strategies to respond to specific compliance risks.3. Policies and Procedures:o Develop, implement, and regularly review risk and compliance policies and procedures to ensure they align with both institutional goals and external regulations.o Provide guidance to academic and administrative staff regarding policy reviews and any updates.o Monitor institutional practices to ensure they meet internal policies and external requirements.4. Analysis and Reporting:o Provide regular reports on risk and compliance to senior management and the Risk and Compliance Committee.o Monitor and report on annual quality assurance activities.o Prepare and submit compliance reports to senior management.5. Continuous Improvement:o Promote a culture of compliance across the institution, encouraging continuous improvement.o Lead or assist in initiatives designed to enhance the institution's compliance framework.Key Skills and Qualifications:<ul><li>Educational Background: A bachelor&rsquo;s degree in law, business, public administration, or a related field. A postgraduate qualification in education compliance, risk management, or regulatory affairs is desirable.</li><li>Experience: At least 3-5 years of experience in a compliance role, preferably within the higher education sector. Familiarity with Australian higher education regulations is essential.</li><li>Knowledge: Strong understanding of the relevant legislation and frameworks affecting the higher education sector.</li><li>Analytical Skills: Strong ability to analyze regulatory requirements, identify areas of risk, and provide solutions.</li><li>Communication Skills: Excellent verbal and written communication skills for preparing reports, liaising with regulatory bodies, and conducting training.</li><li>Attention to Detail: A high level of attention to detail, ensuring all aspects of compliance are meticulously managed.</li><li>Organizational Skills: Ability to manage multiple tasks and deadlines, often under pressure, in a fast-paced educational environment.</li></ul>Must be experienced in:<ul><li>Prior experience with an AICTE(All India council for Technical education)- Approved university or college is required for the role of compliance officer.</li></ul>Reporting:The Compliance Officer typically reports to the Director of Operations and the Chief Executive Officer (CEO).How to Apply:Please send your resume and a cover letter to &quot;arun@unienrolguru.com&quot; with the subject line &quot;Risk and Compliance Officer.&quot;We look forward to your application and the possibility of working together to shape the future of international education at Unienrol Guru!Job Types: Full-time, PermanentPay: From &#8377;30,000.00 per monthBenefits:<ul><li>Food provided</li></ul>Ability to commute/relocate:<ul><li>Chandigarh, Chandigarh: Reliably commute or planning to relocate before starting work (Required)</li></ul>Education:<ul><li>Master's (Required)</li></ul>Work Location: In personApplication Deadline: 23/04/2025

Compliance Officer

Best Choice Recruitment Consultancy

Looking for a Chief Risk and Compliance Officer (CRCO) to be involved in developing strategies and countermeasures to manage risks, reporting exposures to executives and the board, and fostering a strong risk and compliance culture across the organization. Key Responsibilities<ul><li>Risk Assessment and Mitigation:Identifying and evaluating various risks, including financial, operational, strategic, and technology-related risks.</li><li>Policy Development:Creating and implementing policies and procedures to manage identified risks and ensure regulatory compliance.</li><li>Compliance Monitoring:Maintaining adherence to laws, regulations, and industry standards, and ensuring internal controls are effective.</li><li>Reporting and Strategy:Providing expert advice and detailed reports to the CEO, board, and other executives on risk exposures and mitigation strategies.</li><li>Crisis Management:Leading crisis response efforts and implementing corrective measures when issues arise.</li><li>Culture Building:Promoting a strong risk and compliance culture by training employees and coordinating efforts across the organization.</li></ul>Key Skills and Qualifications<ul><li>Strategic Thinking:A strategic mindset to develop proactive solutions for complex risk environments.</li><li>Analytical Skills:The ability to analyze complex data and information to identify risks and develop effective mitigation plans.</li><li>Leadership:Strong leadership skills to guide risk and compliance efforts across the organization.</li><li>Regulatory Knowledge:Deep understanding of relevant laws, regulations, and industry requirements.</li><li>Communication:Effective communication skills to report to the board and senior management and collaborate with other executives.</li></ul>Job Type: Full-timePay: From AED60,000.00 per monthEducation:<ul><li>Bachelor's (Preferred)</li></ul>Experience:<ul><li>Chief Risk Compliance Officer : 10 years (Preferred)</li><li>Banking : 10 years (Preferred)</li><li>Financial institution : 10 years (Preferred)</li><li>managing the board members: 10 years (Preferred)</li></ul>Language:<ul><li>English (Preferred)</li><li>Arabic (Preferred)</li></ul>

Chief Risk Compliance Officer

Fiducrest

Role SummaryThe Compliance Officer will support the Principal Officer in ensuring that the Fund Management Entity operates in full compliance with all applicable laws, regulations, and internal policies. This role focuses on day-to-day compliance operations, regulatory reporting, and maintaining adherence to GIFT City and IFSCA guidelines while supporting the overall compliance framework.Key ResponsibilitiesRegulatory Compliance &amp; Monitoring<ul><li>Support ongoing compliance with SEBI AIF Regulations, IFSCA (Fund Management) Regulations, Companies Act, FEMA, and other applicable GIFT City guidelines</li><li>Assist in end-to-end compliance with IFSCA, SEZ, SEBI and related regulatory frameworks</li><li>Prepare and file periodic reports, including monthly, quarterly, and annual filings with IFSCA</li><li>Ensure timely submission of regulatory forms, including AIF returns, KYC, and AML reporting</li><li>Monitor compliance with investment guidelines and fund mandates</li></ul>Policy Implementation &amp; Documentation<ul><li>Implement and monitor the fund&rsquo;s compliance policies, procedures, and controls as established by the Principal Officer</li><li>Maintain and update compliance manuals, SOPs, and internal policies</li><li>Assist in reviewing Fund Documents, Constitutional Documents and Policies</li><li>Maintain physical and digital filing systems for statutory and operational documents</li></ul>Financial Reporting &amp; Operational Support<ul><li>Support timely preparation of financial statements, audit support files, and reports for the AIF and FME</li><li>Coordinate with fund administrator/fund accountant for timely NAV calculations</li><li>Assist in reconciliation of bank accounts, investor contributions, investments, and expenses</li><li>Ensure accuracy of compliance-related financial reporting</li></ul>Stakeholder Coordination<ul><li>Coordinate with auditors, legal advisors, tax consultants, and regulators under supervision</li><li>Coordination with Administrator, Bank custodian, Clients, Team members and other entities in GIFT</li><li>Support investor onboarding (including KYC, FATCA, CRS compliance)</li><li>Handle Client Queries related to Compliance and escalate complex matters</li></ul>Fund Operations Compliance<ul><li>Monitor capital call and distribution notices, fund flows, and reporting to investors for compliance</li><li>Ensure compliance in coordination with custodians, bankers, fund administrators, and portfolio managers</li><li>Maintain investor records, drawdown schedules, commitment tracking for regulatory purposes</li><li>Support board and investor meetings documentation and ensure necessary resolutions compliance</li></ul>Specialized Compliance Areas<ul><li>Execute AML Compliances procedures</li><li>Support compliances of Ancillary Service Provider at GIFT City</li><li>Manage compliance documentation including board minutes, investor communications, and vendor agreements</li><li>Conduct regular compliance reviews and risk assessments</li></ul>Preferred Skills &amp; Competencies<ul><li>Strong understanding of IFSCA regulations, SEBI guidelines, and GIFT City operational framework</li></ul><ul><li>Experience with Alternative Investment Funds (AIF) and Fund Management Entity operations</li></ul><ul><li>Excellent knowledge of KYC, AML, FATCA, and CRS compliance requirements</li></ul><ul><li>Strong analytical and problem-solving skills</li></ul><ul><li>Excellent written and verbal communication skills</li></ul><ul><li>Ability to work under supervision while managing multiple compliance tasks</li></ul><ul><li>Proficiency in regulatory reporting and documentation</li></ul><ul><li>Strong attention to detail and accuracy</li></ul><ul><li>Ability to work collaboratively with the Principal Officer and senior management</li></ul>Job Type: Full-timePay: &#8377;40,000.00 - &#8377;60,000.00 per monthBenefits:<ul><li>Cell phone reimbursement</li><li>Commuter assistance</li><li>Work from home</li></ul>Location:<ul><li>Gandhinagar, Gujarat (Required)</li></ul>Work Location: In person

Sukoon Insurance

<div>
 
 Key Accountabilities:
 
 
 The Compliance Officer will be responsible for ensuring the company&rsquo;s operations adhere to applicable laws, regulations, and industry standards in the UAE insurance sector. This role includes overseeing compliance programs, conducting risk assessments, managing regulatory reporting, and fostering a culture of compliance within the organization.
 
 
 
 
 
 Key Accountabilities:
 
 
 
 Regulatory Compliance:
 
 
 
 Ensure compliance with UAE applicable laws and regulations including but not limited to Central Bank, Dubai Health Authority, Department of Health, Dubai Financial Service Authority etc.
 
 
 Monitor changes in legislation and regulatory requirements and update company policies accordingly.
 
 
 Serve as the primary point of contact with regulatory authorities for audits, inspections, and correspondence.
 
 
 Develop a compliance Calendar for the company and related subsidiaries and ensure all the regulatory reporting are submitted on time and as planned
 
 
 
 
 
 
 Compliance Program Development:
 
 
 
 Develop, implement, and maintain a robust compliance framework tailored to the insurance industry.
 
 
 Conduct regular reviews and updates to policies, procedures, and internal controls to ensure compliance.
 
 
 Manage training programs for employees on compliance standards and regulatory requirements.
 
 
 
 
 
 
 Risk Assessment and Mitigation:
 
 
 
 Identify, assess, and manage compliance risks within the organization.
 
 
 Conduct internal compliance audits and ensure timely resolution of identified issues.
 
 
 Collaborate with other departments to address compliance gaps and enhance risk mitigation strategies.
 
 
 
 
 
 
 AML/CFT Compliance:
 
 
 
 Oversee the Anti-Money Laundering (AML) and Combating the Financing of Terrorism (CFT)framework in line with UAE laws and regulations.
 
 
 Perform customer due diligence (CDD) and enhanced due diligence (EDD) reviews, and ensure proper recordkeeping.
 
 
 Assist in conducting Enhanced Due diligence for high risk customers and/or transactions
 
 
 Assist in clearing potential matches identified through daily screening
 
 
 Submit suspicious transaction reports (STRs) to the Financial Intelligence Unit (FIU)when necessary.
 
 
 
 
 
 
 Regulatory Reporting:
 
 
 
 Prepare and submit required regulatory reports to relevant authorities within specified deadlines.
 
 
 Ensure accurate and timely reporting of breaches, incidents, or material non-compliance issues.
 
 
 Respond to the regulatory requests with the agreed TAT and in line with the internal procedures
 
 
 Develop and maintain strong and transparent relationship with the regulators.
 
 
 
 
 
 
 Stakeholder Collaboration:
 
 
 
 Liaise with internal stakeholders, including legal, finance, and operations teams, to ensure alignment on compliance matters.
 
 
 Collaborate with other departments (Claims/Underwriting/Operations/ Risk Management/Internal Audit/etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
 
 
 Provide Compliance advise for the business within the agreed TAT
 
 
 Provide guidance to the management team on regulatory risks and compliance strategies.
 
 
 
 
 
 
 Monitoring and Testing:
 
 
 
 Develop and execute compliance monitoring and testing programs to verify adherence to policies and regulatory requirements.
 
 
 Assist in conducting Gap Analysis for existing and upcoming regulations
 
 
 Maintain detailed records of compliance activities and prepare periodic reports for senior management.
 
 
 
 
 
 Requirements:
 
 
 Bachelor&rsquo;s degree in Finance/Accounts/Law/Audit.
 
 
 3-5 relevant compliance experience in a Financial Institution preferably in insurance
 
 
 Arabic is a plus
 
</div>

HTIC Global

Job Purpose:The Compliance Officer plays a critical role in safeguarding the integrity of client entities by ensuring that their operations adhere to all relevant legal, regulatory, and statutory requirements. The primary responsibility is to support and oversee the compliance framework for the allotted entities, ensuring that filings and submissions to government authorities are accurate, timely, and aligned with regulatory expectations.Responsibilities:Primary Responsibilities:1. Regulatory Adherence &ndash; Ensure the organization&rsquo;s operations for allotted entities fully comply with applicable laws, regulations, and internal policies.2. Statutory Filings &amp; Submissions &ndash; Oversee accuracy and timeliness of all filings and submissions to regulatory authorities.3. Policy Implementation &amp; Monitoring &ndash; Develop, implement, and enforce compliance procedures and policies; ensure business units operate within legal and regulatory frameworks.4. Risk Assessment &amp; Management &ndash; Conduct regular risk assessments to identify potential areas of non-compliance; recommend and monitor preventive and corrective actions.5. Reporting &amp; Monitoring &ndash; Maintain compliance records and reporting systems; provide regular updates and performance reports.6. Investigation &amp; Remediation &ndash; Investigate potential compliance breaches, implement corrective measures, and ensure preventive actions are in place.7. Management Assurance &ndash; Provide periodic assurance to senior management on the overall compliance status, highlighting key risks, corrective actions taken, and areas requiring attention.Secondary Responsibilities:1. Collaboration with Departments &ndash; Coordinate with internal teams and external consultants to ensure compliance adherence across all business operations.2. Training &amp; Awareness &ndash; Facilitate training sessions and awareness programs for employees regarding regulatory requirements and internal policies.3. Monitoring Regulatory Changes &ndash; Track updates in laws and regulations; ensure timely amendments to policies and procedures.4. Audit Support &ndash; Assist in internal and external audits, ensuring compliance issues are addressed and audit recommendations implemented.5. Continuous Improvement &ndash; Identify trends, recurring issues, or process gaps; recommend improvements to enhance efficiency and reduce risk exposure.Qualification &amp; Experience:<ul><li>Bachelor&rsquo;s degree in Law, Business Administration, Finance, Accounting, or a related field.</li><li>Strong knowledge or ability to understand applicable laws, regulations, and statutory requirements.</li></ul>Experience:<ul><li>Minimum: 5+ years in compliance, audit, risk management, or regulatory functions.</li><li>Experience in maintaining records, monitoring statutory requirements, and supporting filings or audits.</li><li>Exposure to BPO/back-office or multi-entity environments is a plus.</li></ul>Preferred:<ul><li>Experience in AML (Anti-Money Laundering) &amp; CFT (Combating the Financing of Terrorism) compliance.</li><li>Exposure to insurance broking, aviation, or other regulated industries.</li></ul>Skills:Must Have Skills:<ul><li>Ability to interpret and apply applicable laws, regulations, and statutory requirements.</li><li>Excellent analytical and problem-solving abilities.</li><li>High level of integrity, ethics, and attention to detail.</li><li>Effective written and verbal communication skills.</li><li>Ability to work independently and manage multiple tasks with minimal supervision.</li><li>Proficient in Microsoft Office tools.</li><li>Strong organizational and record-keeping skills.</li></ul>Good to Have Skills:<ul><li>Experience in regulatory reporting, filings, or compliance monitoring.</li><li>Familiarity with compliance management software or ERP systems.</li><li>Prior exposure to BPO or shared services environment.</li><li>Ability to conduct training sessions and awareness programs.</li></ul>Job Location : Infopark, Phase - 2, Kakkanad, KochiJob Type: Full-timePay: &#8377;50,000.00 - &#8377;60,000.00 per monthBenefits:<ul><li>Health insurance</li></ul>Work Location: In person

Industrial and Commercial Bank of China

<div>
 
 
 Responsibilities
 
 
 <ul>
 <li>
 Carry out the bank&rsquo;s compliance/AML functions&nbsp;to ensure compliance with all applicable legislation and regulations, international best practices&nbsp;and group policies.
 </li>
 <li>
 Provide expertise in compliance/AML policy drafting, review and revision. Execute compliance monitoring programs development and perform process improvement.
 </li>
 <li>
 Implement comprehensive Customer Risk Rating and Product Risk rating framework and conduct AML and Sanctions risk EWRA assessments periodically.
 </li>
 <li>
 Supervise, review and approve&nbsp;compliance systems&nbsp;operations to mitigate AML/CFT, sanctions and related compliance risks during various business stages such as KYC on-boarding, transaction monitoring and daily operations.
 </li>
 <li>
 Work with both front office and support functions to develop all requisite controls, policies and procedures&nbsp;and recommend business system requirements.
 </li>
 <li>
 Guide and advise branch management and business functions on laws and regulations and evaluate their impact to business&nbsp;and recommend best course of action.
 </li>
 <li>
 Liaison with regulators and relevant external bodies on compliance matters including regulatory risk assessments,&nbsp;independent compliance testing&nbsp;and respond promptly to any Request For Information made by competent authorities.
 </li>
 <li>
 Liaison with&nbsp;IT managers with compliance risk control&nbsp;system optimization, transaction monitoring modeling, tuning and validation, partake in new system/solution technological initiatives and projects launched by head office.
 </li>
 <li>
 Provide periodic training to staff&nbsp;on AML, regulatory themes and KYC related topics.&nbsp;Coaching and developing new team.
 </li>
 <li>
 Complete other&nbsp;duties and Ad-hoc tasks as needed.
 </li>
 </ul>
 
 
 
 
 
 Qualifications
 
 
 <ul>
 <li>
 Bachelor&rsquo;s degree in Finance, Law, Business or related field.
 </li>
 <li>
 At least 5 years in banking/financial services compliance roles.
 </li>
 <li>
 Regulatory Expertise of AML/CFT, Sanctions, FATCA, CRS, and key banking regulations and international standards.
 </li>
 <li>
 End-to-End Framework Implementation with proven experience designing, implementing, and optimizing the&nbsp;entire&nbsp;compliance framework.
 </li>
 <li>
 Strong oversight of KYC/CDD on-boarding, Transaction Monitoring, Sanctions Screening systems. Ability to review, approve outputs, and drive optimization.
 </li>
 <li>
 Expertise in leading AML, Sanctions, and Operational Risk Assessments. Identifying gaps and implementing remediation.
 </li>
 <li>
 Proven ability to draft, review, and advise on complex compliance policies. Provide actionable guidance to business and senior management on regulatory&nbsp;impact &amp; resolution.
 </li>
 <li>
 Strong team supervision, coaching, and development skills.
 </li>
 <li>
 Ability to design and deliver effective AML/KYC training.
 </li>
 </ul>
</div>

Compliance Manager / Senior Compliance Manager

Confidential

<h3>Risk Management</h3>&nbsp;<ul><li>Develop, implement, and maintain the enterprise risk management (ERM) framework for the real estate development sector.</li><li>Identify, assess, and monitor risks across development projects, sales, leasing, facilities management, and corporate functions.</li><li>Conduct regular risk assessments and scenario analysis (market risks, legal risks, operational risks, fraud, and reputational risks).</li><li>Support management in implementing mitigation strategies, contingency plans, and internal controls.</li><li>Prepare risk dashboards and reports for senior management and the Board. &nbsp;</li></ul><h3>Compliance Management</h3>&nbsp;<ul><li>Ensure compliance with UAE laws, real estate regulations (RERA, DLD, etc.), anti-money laundering (AML) requirements, and corporate governance frameworks.</li><li>Review contracts, policies, and procedures to ensure regulatory alignment.</li><li>Monitor updates in legislation/regulatory frameworks and provide proactive guidance to management.</li><li>Manage compliance audits and coordinate with external regulators/authorities as required.</li><li>Develop and implement whistleblowing, anti-bribery, and anti-corruption programs. &nbsp;</li></ul><h3>Policies, Procedures &amp; Governance</h3>&nbsp;<ul><li>Draft, review, and maintain compliance and governance policies, codes of conduct, and internal guidelines.</li><li>Train employees on compliance awareness, risk management practices, and ethical conduct.</li><li>Promote a compliance culture across all levels of the organization.</li><li>Act as the primary point of contact for compliance queries across departments. &nbsp;</li></ul><h3>Reporting &amp; Advisory</h3>&nbsp;<ul><li>Provide regular compliance and risk reports to senior management, Audit &amp; Risk Committees, and the Board of Directors.</li><li>Advise project leaders and senior executives on compliance implications of strategic initiatives (joint ventures, sales campaigns, international partnerships).</li><li>Investigate compliance breaches, misconduct, or conflicts of interest and recommend corrective actions. &nbsp;</li></ul><h2>Qualifications &amp; Experience</h2>&nbsp;<ul><li>Bachelor’s degree in Law, Finance, Business Administration, or related field (Master’s or professional certifications such as ICA, CRMA, CCEP, or CIA preferred).</li><li>7–10 years of relevant experience in risk management and compliance, preferably in the real estate or construction industry.</li><li>Strong knowledge of UAE laws, real estate regulations (RERA/DLD), AML, corporate governance, and international compliance standards.</li><li>Proven track record in risk assessment, compliance monitoring, and policy development.</li><li>Excellent communication, analytical, and stakeholder management skills.</li><li>Integrity, discretion, and ability to handle confidential information. &nbsp;</li></ul><h2>Key Competencies</h2>&nbsp;<ul><li>Strategic thinking and problem-solving</li><li>Attention to detail and accuracy</li><li>Strong ethical judgment</li><li>Leadership and people management (if Manager-level)</li><li>Ability to influence and foster compliance culture</li></ul>

Risk & Complaince Officer

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