Assistant Vice President - Compliance

EXL Service View all jobs

  • Philippines
  • Permanent
  • Full-time
  • 7 hours ago
Job Category: OperationsJob 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 policiesResponsibilities: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.

EXL Service