lahore

Compliance Executive

Job Overview:

The objective of this role is to ensure the establishment and maintenance of effective, best practices of compliance and integrity program, to prevent and detect disobedience of policies and other misconduct, and to promote ethical conduct and a commitment to compliance. The executive shall ensure faithful implementation of the program as directed by the line managers. The program will include standards, procedures and internal controls reasonably capable of reducing the prospect of illicit conduct and malpractice. It will also consist of appropriate information and reporting system so that the senior management may exercise timely and informed judgments concerning the compliance with regulation.

Key Responsibilities:

  • Develops initiates, maintains, and revise policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
  • Develops and periodically reviews and updates Standards of Conduct to ensure continuing relevance in providing guidance to management and employees.
  • Collaborates with other departments (e.g., Operations, Training, Quality Assurance etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
  • Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations and maintain confidentiality of sensitive information within the organization are being appropriately evaluated, investigated and resolved.
  • Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
  • Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
  • Provides reports on a regular basis, and as directed or requested by the line manager, to keep the line manager informed of the operation and progress of compliance efforts.
  • Reviews and recommends changes to Company's Code of Conduct and Annual Declaration of Compliance.
  • Ensure compliance as integral to good corporate governance.
  • Preparation of processes – including periodic reviews.
  • Develop and enhance compliance function.
  • Ensure that all employees are aware of rules & regulations if not adhered will lead to disciplinary action.
  • Develop a clear understanding on Compliance responsibilities and get buy in from different departments
  • Develop & provide broad governance oriented mandate which serves to confirm relevance.
  • Collaborate with T&D to provide training to individual’s developing understanding on their responsibilities.
  • Cultivate culture of compliance in the organization.
  • Attend to material issues of agreement at the earliest opportunity.
  • Review the work performed compliance officer(s) and receive written reports from them.
  • Provide staff with all the necessary templates to ensure compliance with the provisions of the act.
  • Monitoring and reporting would be done intensively regularly.

Job Specification:

  • 1-2 years of Call center and compliance/QA experience in financial campaign is preferred.
  • Strong leadership and organizational skills
  • Interpersonal skills
  • Reporting and Analytical Skills
  • MS Office especially Excel and PowerPoint
  • Excellent written and verbal communication skills

Perks & Benefits:

  • Medical Insurance
  • Permanent Employment Status
  • PF
  • Annual Leaves
  • Leaves Encashment
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lahore

Plot No. 07, Aitchison Street, 1 KM Thokar Niaz Baig, Raiwind Road, Lahore 54000, Pakistan

Phone +92.111.874.874

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lahore

Compliance Executive

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Compliance Executive

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