Compliance Executive

Key Responsibilities 

1. Project Operations, Compliance Monitoring & Execution Management 

•Manage and supervise ongoing legal and regulatory compliance projects. 

•Maintain project trackers and ensure every assignment progresses as per committed 

timelines. 

•Ensure all assigned regulatory and legal compliances are completed within defined 

timelines. 

•Monitor project milestones, pending activities, documentation requirements, 

approvals, and deliverables. 

•Identify reasons for delays and coordinate with concerned teams for corrective action. 

•Ensure timely preparation, submission, follow-up, and closure of regulatory 

applications and requirements. 

•Coordinate with respective compliance teams for timely completion of regulatory 

activities. 

•Track expiry dates, renewal timelines, pending submissions, and compliance 

obligations. 

•Ensure clients are updated regarding compliance requirements, pending documents, 

and upcoming deadlines. 

•Identify compliance gaps and take proactive action to avoid delays or non-compliance 

situations. 

•Escalate critical issues and project risks to management with proper analysis. 

•Ensure smooth project movement from client onboarding till final delivery. 

2. Client Relationship & Communication Management 

•Provide regular project and compliance status updates to clients. 

•Ensure timely responses to client queries through emails, calls, and other 

communication channels. 

•Maintain professional relationships and ensure high client satisfaction. 

•Understand client concerns and coordinate internally for effective resolution. 

•Communicate delays, additional requirements, and action plans proactively. 

•Build trust by ensuring transparency throughout the project lifecycle. 

3. Internal Team Coordination 

•Coordinate with Legal, Regulatory, Documentation, Sales, and Operations teams. 

•Ensure proper project handover from the sales team after client onboarding. 

•Follow up with respective teams for pending tasks and commitments. 

•Conduct regular reviews of project status with internal stakeholders. 

•Ensure seamless coordination between different departments involved in project 

execution. 

4. Process Improvement & Operational Excellence 

•Identify gaps in existing operational processes and suggest improvements. 

•Ensure adherence to internal SOPs and compliance procedures. 

•Support implementation of project management tools and automation systems. 

•Improve turnaround time and overall service delivery quality. 

•Develop a systematic approach for project monitoring and compliance control.