Compliance Manager

4 weeks ago

Mumbai Metropolitan Region, India Kotak Mahindra Bank Full time

Team Member- Compliance– Advisory- Overseas Branches & OfficesThe key responsibilities include the following: Support Business Group residing in IFSC Gift City and DIFC overseas branches of the Bank, in providing compliance oversight and advisory services for effective implementation of the Compliance Risk Management framework. Assisting the business and function stakeholders in review of new and existing product and process notes and advising Head Office(HO) compliance seniors on important regulatory changes and requirements Drafting and vetting of letters/responses/representation on regulatory matters and follow-up on the same for getting the necessary views and approvals from the regulators. Review of regulatory returns and notes prepared for periodic governance meetings held for the overseas branches and representative offices. Additionally, acting as back-up for other advisory members in the team relating to Trade, Capital and Current account transactions. Where called upon, to carry out testing and monitoring of regulatory risk areas to ensure compliance with extant regulatory guidelines. Assisting the team during the time of Regulatory Inspections /Audit by coordinating and collaborating with stakeholders to provide information and details requested by the regulators governing bank’s products and activities Conducting Compliance Business Review & monitoring related assignments as allocated by the team lead. Assist the team lead in preparation of board notes, training materials, department MIS and other related tasks Preparing the root cause analysis of critical issues and tracking the actions to remediate the gaps.Job Role:1) CA/MBA Degree2) Knowledge about key regulatory requirements relating to banking /capital market segment.3) Hands-on experience of implementing or monitoring implementation of regulations. Prior audit or assurance background will be preferred.4) Knowledge about bank functioning – different business segments and functions with particular focus on financial services / capital markets. Prior experience in capital market functions of a bank is preferred.5) Ability to perform under pressure within the given time lines. Should possess good communication / interpersonal / problem solving skills and has to be a quick learner.6) Diligent, hard-working & a team player, with ability to drive outcomes when working with other stakeholders.7) Proficient in working on MS Office tools.

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