![Parul Rab , Senior Ethics and Compliance Manager – [MENA]](http://secure.b8cdn.com/images/uploads/user_photos/05/32108605_20171216051104.jpg)
Senior Ethics and Compliance Manager – [MENA]
Oxford University Press
Total years of experience :15 years, 11 Months
• Effective implementation and maintenance of Ethics and Anti-Bribery Compliance Program, this includes periodic bribery and corruption risk assessment, third party due diligence, updating anti-bribery and corruption and other relevant policies, delivering tailored trainings, assessing and monitoring of existing controls framework and controls testing.
• Providing guidance, support and direction on company policies, Anti-Bribery and corruption regulations, country sanctions and money laundering related issues to business teams to ensure informed decision making and implementation of necessary control measures.
• Persistent interactions with employees, management and third parties to ensure accurate understanding of risk/compliance control framework and self-regulated compliance and/or self-assessment approach to inculcate an effective compliance culture.
• Performing due diligence of business activities and third parties against Anti Bribery & Corruption legislation, Conflict of Interest, Anti-Money Laundering, Country sanctions, Modern Slavery legislation, Tax Evasion law and internal Policies/Code of Conduct.
• Performing compliance reviews to identify and evaluate fraud vulnerabilities in selected operations, potential improvement opportunities in compliance policies, reporting formats and training modules to align with industry best practices.
• Conducting investigation on breaches of code of conduct, ethical policies and whistleblowing reports.
• Working with learning and development teams and providing customized trainings to (new/existing) employees as well as business partners/ third parties.
• Submission of periodic reports on effectiveness of compliance program and KPIs to Senior Leadership and addressing their questions/concerns.
• Prepared, reviewed and ensured application of standard operating procedures across various functions to have proper internal controls and manage risk efficiently.
• Engaged with Management and functional stakeholders to understand operations and compliance practices to develop detailed checklists corresponding to each compliance legislations.
• Concluded remedial measures for compliance gaps with stakeholders and followed up to ensure timely implementation of the action plans and reported results along with any material breaches to Senior Management.
• Worked with multiple data sources to develop and distribute ad-hoc reports as needed and analyzed specific companies’ financial information related company results, profit and loss as well as cash flow statements.
• Represented views of the Board of Directors to the management team and identified and followed up with the responsible officials on the action points.
• Facilitated Business Review Meetings including Board Meetings and General Meetings and follow-up on action on items decided in the meeting along with submission of their report on a recurring basis.
• Prepared Agenda/ Directors Resolutions, collation of data/reports for their circulation to the Board/stakeholders and maintenance of minutes, statutory records and registers.
• Ensured adherence with the Secretarial Compliances, Local Laws, Corporate Governance, Company policies and procedures and submission of periodic reports to management.
• Collaborated with other departments to identify and address potential areas of compliance vulnerability and risk and remain abreast of the status of all compliance activities.
• Periodically reviewed compliance policies and procedures, ensuring that all applicable compliance policies are covered in local compliance training.
• Prepared, reviewed and modified contractual instruments along with vetting and proofreading of legal documents like letter of engagements, letter of representations, Non-Disclosure Agreements etc. to ensure maximum protection to the Company.
• As a member of Transaction Support Group - provided assistance to Investment Committee Members by conducting background screening for Pre-Investment in the Investee company- Conducting checks on employment verification, criminal history, credit behavior and qualification among other attributes.
• Provided training to employees on FCPA/anti-corruption compliances.
• Handled Secretarial Compliances of companies including - issuance of notices, agenda, recording minutes of board and general meetings, maintenance of Statutory Registers and records etc.
• Liaised with external regulators/advisers in relation to compliances under various applicable laws like taxation/customs/Registrar of companies.
• Prepared & submitted monthly reports on the status of compliances to the management.
• Supported treasury team by handling opening & closing of global bank accounts, including their set up for web banking and complying with their KYC /AML regulations applicable in respective countries.
• Managed secretarial compliance obligations of Group companies - preparation of Minutes, Registers and other statutory records, E-Filing of Forms & Returns with the Ministry of Corporate Affairs, handling Secretarial Audit of all group companies.
• Dealt with matters related to modification of charges, change of the name of the company, shift of registered office, alteration of share capital, conversion of Private Company to Public Company.
• Ensured application of best practices for Corporate Governance for the companies and liaised with corporate governance matters of group companies.
• Correspondence with various statutory authorities and draft various correspondence and reports for regulatory bodies.
I initiated my career with the Escorts Group which is among India's leading engineering conglomerates operating in the high growth sectors of Agri-machinery, construction & material handling equipment, railway equipment and auto components.
URL removed due to policy violation. Please contact support for further information.