SAMPLE NOMINATION FORM

Award Category: Compliance Champion 2016

All submissions may be made online or email or by physical submission to the Mumbai office of Legasis in a sealed envelope.

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Electronic copies of all submissions to be emailed to

The supporting documents should be attached with this form, wherever necessary, in order to assist the Jury make aninformed decision.

Please ensure you have read the comprehensive submission guideline document which includes rules and condition. By making a submission, entrants shall be deemed to have read, understood and agreed to these rules and conditions on behalf of their firm or organization.

CONTENTS OF THE FORM:

Name of the Nominee: / Yamini Gupta
Name of the Company: / ABC Limited
Category of Award: / Compliance Champion 2016
Submission Contact
Contact job Title: / Ms. Yamini Gupta
Contact Phone Number: / 010-8383838383
Contact Email ID: /

Full Submission (maximum 2000 words in total for submission)

Originality*
(Whatelements of the work brought out Culture of Compliance?)
(Why do you consider yourself as an Agent of change?) / As a compliance officer Ms. Yamini has spearheaded the implementation of a compliance program not just in the letter of law but in the spirit. She has been dedicated to bringing about change in the compliance levels of the organization.
In order to arrive at the desired levels of compliance in our organization, she suggested automation of the existing processes. She developed internal control systems , protocols and project plans in consonance with all stakeholders and outsource compliance partners. She ensured that these systems and protocols were effective during the actual implementation. She made sure that these processes and protocols were clear, precise and understood by all employees.
For the sustainability of the compliance program she showed earnestness, identified employees, educated them on compliance, encouraged compliance audits to ensure consistent enforcement and necessary corrective action.
Ms. Yamini’svigourlead to implementation and compliance of various internal policies like Prevention of Insider Trading, Prevention of Sexual Harassment at Workplace etc.
She has driven the implementation of the compliance management solution at ABC’c corporate office, 21 manufacturing plants carrying out varies manufacturing operations, 4 CFA’s etc.
This implementation was completed in 2 months.
She still actively participates by interacting with our compliance partner on a regular basis.
Rationale*
(Why was this specific approach taken?
What was the thought process behind the solution? What changes does it respond to?) / It is an increasing need of the hour as well as regulations makes it imperative to chalk up and effective and adequate compliance program.
Keeping that aspect in mind, with the assistance of XYZ, Ms. Yamini Gupta spearheaded the implementation of the compliance management solution in our organization.
The initial challenges faced by her, were in terms of planning the execution, placing ownership within the ecosystem and bring about change in the existing mannerisms adopted in carrying out compliance.
Today ABC limited proudly announces being 94% compliant. The details of which can be presented to the senior management as comprehensive and all encompassing reports.
This above mentioned statistics reflects the tough grind task that Ms. Gupta has successfully accomplished in terms of compliance in ABC limited.
Impact
(What was the impact of the behavior for organization or key stakeholders?How can its success be measured?Where did you deliver the most value?How did your peers view the impact?) / Initially there was resistance from some employees as it involved detailed planning and re-organization of the way statutory compliances were carried out. However, as the system was put in place, compliances with various statutory enactments became easier and better organized.
The status of compliance from the date of implementation to the present date is 94 %i.e. 68141 tasks being complied. The tasks which are not complied are mostly due to the technical difficulties in updating the system despite physical completion of the task.
The above statistics are a reflection of the acceptance of compliance management solution at ABC Limited.

REFERENCES:

(Maximum 3)

Name / Designation / Phone No. / Email

If you are having difficulties completing this form please, contact Legasis at:

Ms. NazneenNakra

Legasis Services Pvt. Ltd.

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