Assistant Vice President
Crédit Agricole CIB
3d ago

Business type

Types of Jobs - Compliance / Financial Security

Job summary

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.

  • For business areas / divisions of bank (including Global Markets Division-GMD) :
  • 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.

  • Analyze & disseminate Group compliance policies & local regulatory guidelines / circulars in light of their impact on bank’s businesses / operational units.
  • Ensure oversight & tracking of key actionable points.

  • Conduct compliance risk assessment & ensure independent compliance testing as required under Head Office (HO) control plan & by local regulator in respect of various areas so as to ensure implementation of policies, processes & that products offered are as per regulatory guidelines.
  • Carry out related periodic reporting & monitor subsequent compliance.

  • Periodic reporting : Quarterly & annual reporting to HO Compliance; ad hoc reports to HC & Regional / HO Compliance (reports would cover statistics, control plan progress, regulatory advances & assessment on various compliance topics).
  • Ensure tracking of regulatory correspondences & timely submission of reports / returns etc. to local regulators.

  • For Risk Based Supervision (RBS), work with HC to ensure continuous & effective communication with Supervisory Relationship Manager (SSM), internal co-
  • ordination / review of ongoing requests from regulator for offsite monitoring & periodic liaison with regulator on various topics.

  • Work with HC, to ensure end to end management of onsite inspections & periodic regulatory liaison in respect of same. Ensure ongoing oversight over progress of compliance with regulatory findings / recommendations.
  • Contribute towards engaging with regulator / s for clarification / approvals & other issues. Review correspondence from regulators / other authorities, disseminate to / engage with the relevant internal stakeholders and ensure timely & adequate feedback for the requested information.
  • Maintain operating relationships within RBI / regulators.
  • Manage compliance projects
  • 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.

    Required skills

    Communication with regulators, RBI reporting


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