Types of Jobs - Compliance / Financial Security
Top management & other stakeholders on Group compliance norms & local regulatory matters, & undertake monitoring as appropriate thereby contributing towards effective management of non-
compliance risks / protecting Bank from potential regulatory violations.
o Perform compliance analysis for & advise on New Activities & Products / Cross-border transactions / Complex & Sensitive transactions.
o Provide compliance guidance / advice for references from front / back office & other support functions (on transactions / activities / rules & regulations).
o Review & approval for customer suitability, other transactional requests from business divisions.
o Ensure that all compliance related information & publication are advised to relevant staff / departments & to review / update Banks’ compliance policies / procedures & programs.
o Review business policies & procedures in place to ensure they embed Group & local regulatory requirements. Further, monitor that policies are reviewed on a periodic basis.
o Provide training on local regulatory & Group compliance matters.
Ensure oversight & tracking of key actionable points.
Carry out related periodic reporting & monitor subsequent compliance.
Ensure tracking of regulatory correspondences & timely submission of reports / returns etc. to local regulators.
ordination / review of ongoing requests from regulator for offsite monitoring & periodic liaison with regulator on various topics.
Minimal education level
Postgraduate degree MA / MSc / PhD / Doctorate or equivalent
Academic qualification / Speciality
Chartered Accountant preferable
MBA or equivalent
Level of minimal experience
Experience in compliance related to corporate banking and RBI reporting.
Communication with regulators, RBI reporting