Associate Director - Compliance

Replacement for Nitin Thanvi - Assciate Director and Compliance Officer for CRISIL Ratings

Key roles and responsibilities

• Assisting the Chief Compliance Officer in implementation, review and monitoring of compliance program for the CRISIL Group by a) identifying and monitoring risks and regulatory requirements; b) drafting, review and implementing policies and procedures to address those risks and requirements; c) communication and training of such policies and procedures; and d) monitoring compliance with such policies and procedures.
• Advises management on material compliance matters and issues. Collaborate and provide effective solutions to business heads.
• Quickly acquire and demonstrate a thorough understanding of all business lines and operations and ensure 100% statutory compliance.
• The incumbent will also be helping in implementation of key compliance policies including Personal Trading Policy, Code of ethics, AML etc. for CRISIL and also pre-empt conflict of interest between business verticals in and outside of India.
• Assist in driving various projects within the organization and the compliance team to implement compliance tools and agenda.
• The incumbent will be nominated as the Compliance Officer of CRISIL Ratings and will be involved in managing relationships with the regulators, oversee compliance requirements for the Ratings Business, develop good working relationship with the controls team to ensure timely and accurate regulatory filings and manage regulatory examinations and inquiries regarding internal and external audits and reviews.
• Participates in relevant industry initiatives and committees.
• Collaborates with other departments (eg, Risk Management, Internal Audit, Rating controls, HR, Legal, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
• Assists in responding to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
• The incumbent will be tasked with facilitating reporting to the CRISIL ratings Board on compliance matters