The role will be a direct liaison between the UK FCA regulated entity and the Appointed Representative entity in India. By ensuring the Indian compliance function (for the UK regulated activities) is independent of the Indian operational structure it is expected to achieve the minimum control and compliance expectations of the FCA. This role will also facilitate speedier breach communication and resolution. This role will have locally employed compliance staff reporting into them. This role also enables the UK entity to meet client requirements with regards to compliance.
Continuous review of standard process compliance throughout the regulated activities of the Indian business, identifying and resolving gaps with FCA expectations and obligations;
Client agreements/procedures and Identifying gaps in process;