Assistant Manager-Compliance-Line Compliance

Basic Function R esponsible 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

Essential Functions- Responsible for coordinating the Internal, External & Client Driven Audits and preparation thereof.

• Manage the Documentation and Control requirements for all Level 3 documentation for the vertical.
• Conduct awareness trainings on Information Security and company policies and procedure.
• Support Compliance Officer
• Support Regulatory Compliance processes
• Other compliance related activities as/when assigned