Risk and Corporate Governance Compliance Function

NCML is the country’s leading organisation providing a bouquet of commodity based services under a single umbrella. The Company was promoted by NCDEX, IFFCO, leading banks and reputed organisations.Responsibilities: 1. SPOC for risk management practice administering all risk processes within the organisation2. Conducting activities related to implementation of the operational risk and permanent control framework for collateral management control group (CCG)3. Helping operation teams in risk Assessment, implementing group policies, and permanent control framework for all operational controls within the organisation and following up with various departments4. Conducting risk based audits on daily basis and reporting escalations to head of departments & senior management5. Sharing weekly and monthly MIS on critical observations and group performance to senior management to keep them informed about risk findings6. Managing all open high-risk gaps and ensuring their closure without any financial loss to the company7. Proactively worked with IT Department to automate identification of high-risk transactions and new app development – NPOP (including geo tagging of warehouses, App helps to find out exact location of field staffs)8. Optimising risk management by monitoring & controlling operational losses; maintaining & enhancing the operational risk policy for the organisation

NSDL, the first and largest depository in India. NSDL provides bouquet of services to end investors, stock brokers, stock exchanges, custodians, issuer companies etc. through its network of more than 276 Depository Participants / Business Partners.Responsibilities: 1. Conducting regular/surprise audits of DPs (Brokers, Banks, NBFCs, Custodians, Clearing Corporation) and Issuer/Registrar & Transfer Agents (RTA) every year as per guidelines/SOPs laid down by SEBI, Depository (NSDL) and PMLA2. Providing responses to the SEBI within stipulated TAT; quarterly reporting to SEBI, proving data to internal & concurrent auditors/SEBI during Audit or as and when sought. Timely closure of Audit reports3. Monitoring compliance of depository operations of business partners in ongoing basis to ensure 100% compliance and to safeguard them from any administrative warning/penal action from SEBI4. Conducting closure meetings and providing recommendations for smooth operation, discussing observations with the appropriate level of management5. Periodic follow-up for the corrective action to be taken for the observed audit issues and compliance6. Managing after compliance, regulatory affairs and queries of Business Partners related to Depository Operations.7. Administering starts to end fresh membership registrations, renewal of membership with depository (NSDL) and subsequent submission to SEBI8. Preparing status Reports, compliance audit data and MIS reports and publishing to the senior management and stakeholders9. Analyzing financial statements; checking and reviewing internal audit reports, net worth certificates, compliance certificates/ letters submitted by the DP

HDFC Life is one of India's leading life insurance companies, offering a range of individual and group insurance solutions that meet various life stage needs of customers.The products include Protection, Pension, Savings & Investments, Health, etc.1. Lead a team of distributors, developed agency channel business, develop and implement strategies to enhance insurance business and achieve business targets.2. Provided training to business associates on insurance products, financial markets, customer behavior and marketing approach.3. Identified and recruited distributors to provide depth in distribution