Regulatory Compliance Manager

6 days ago

Mumbai Maharashtra India, Maharashtra Kotak Mahindra Bank Full time

About the Job

The expectation and primary accountability of the position in the Compliance Department is to monitor, understand, interpret and guide business teams regarding new regulations emanating from financial services and capital market regulators (such as RBI, NPCI, Depositories / Exchanges/ Clearing Houses, PFRDA / IRDAI etc.).

  1. To monitor new regulations as and when they arise, and to promptly disseminate these to relevant internal stakeholders.
  2. Proactively analyze the impacts, allocate actions to business owners, and provide guidance on implementation.
  3. Perform testing of actual implementation of circulars to ensure that the revised process and controls are sufficient to meet regulatory expectations from both, a design & operating effectiveness perspective.
  4. Assist senior stakeholders in preparing notes for engagement with regulators as and when required, to obtain clarity on the regulations.
  5. Assist/prepare MIS / notes for internal governance meeting reporting.


Job Requirements:

The candidate should possess the following attributes:

  • CA/Graduate with 3+ years of work experience in banking / financial services / securities in the Compliance team or in an assurance/testing role with particular focus on regulatory compliance.
  • Knowledge about key regulatory requirements relating to financial services and capital market regulators (such as RBI, NPCI, Depositories / Exchanges/ Clearing Houses, PFRDA / IRDAI etc.).
  • Hands-on experience of implementing or monitoring implementation of regulations. Prior audit or assurance background will be preferred.
  • Functional knowledge about bank functioning – different business segments and functions with particular focus on financial services / capital markets.
  • 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.
  • Diligent, hard-working & a team player, with ability to drive outcomes when working with other stakeholders.
  • Proficient in working on MS Office tools.

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