Anju Lalwani

Compliance Business Partner @WTW

Mumbai, IN

Identify and assess compliance risks within the business and ensure there are adequate and effective controls to mitigate and manage the risks Provide immediate advice on regulatory matters and issues that arise on a daily basisDevelop a compliance plan which reflects the risk profile of that business unit; undertake own sampling and check the checkers reviews, where appropriate; monitor and report progress against the planProvide support and guidance to the business in understanding its responsibilities and obligations under relevant Company policies and regulatory requirements (e.g, Anti-Bribery & Corruption, Anti Money Laundering, Sanctions, Conflicts of interest, Gifts & Entertainment, KYC, Complaints, Third Party Payments, WEM); respond to queries on the interpretation of relevant compliance policies Identify the changes recommended by the regulator Financial Conduct Authority (FCA) and support the business in implementing the changesEnsure business have adequate systems and controls in place to ensure Client Money is handled in accordance with the CASS (Client Assets Sourcebook) Client Money Rules which are an FCA regulatory requirement that applies to all FCA regulated entitiesAttend all formal (as defined by terms of reference) business unit meetings, provide meaningful updates and management information. Engage in any best practice sharing that would help minimize the risk, discuss the business performance on compliance and regulatory aspectsIn consultation with business, identify compliance training needs, develop training plan for the year and deliver specific training materials. Check that all applicable Compliance policies and local regulations are covered in the trainingReview existing controls in the business and provide recommendations to ensure there is segregation of work. Co-ordinate Internal/external audit for the business