Assistant ManagerManager- Compliance

• Compliance Policy Implementation Assist the Board and the Senior Management in overseeing the implementation of Compliance Policy including policies and procedures prescriptions in Compliance Manuals internal codes of conduct etc.
  
• Dissemination and implementation of Regulatory guidelines/Actions as per Regulatory Inspection Reports Ensure compliance of regulatory / supervisory directions given by RBI in both letter and spirit in a timebound and sustainable manner.
  
• Regulatory Advisory The Compliance Department shall also serve as a reference point for the staff from operational departments seeking clarifications / interpretation of various regulatory and statutory guidelines.
  
• Compliance risk assessment carry out an annual Compliance risk assessment in order to identify and assess major Compliance risks faced by them and prepare a plan to manage the risks.
  
• Compliance Testing Compliance Function shall monitor and test Compliance and the results of such Compliance testing shall be reported to the Senior Management.
  
• Facilitate smooth conduct of regulatory inspections.
  
• Tracking Track to ensure that regulatory returns are being submitted within timeline.
  
• Review policies processes business proposals marketing material customer communications from a regulatory compliance perspective
  
• Ensure policy formulation mainly relating to KYCAML FPC Outsourcing.
  
• Brief the management and concerned stakeholders on regulatory developments.
  
• Involvement of Compliance Function from initial stages in development of new products and processes
  
• To ensure closure of all the observations emanated out of the Inspection Reports
  
• Reporting to the RBI Reporting of various requirements to the RBI SSM team.
  
• Report suspicious transactions and cash transactions with FIU and ensure compliances under PMLA.
  

Requirements

• CA /CA (Inter) / CS / CS(Inter)/ L.L.B.
  
• Candidates from Banks (HO)
  
• 2 to 5 yrs experience
  

Benefits