Compliance Manager

5 hours ago

Mumbai Maharashtra India, Maharashtra Kotak Mahindra Bank Full time

Compliance Team Member - Treasury


The key responsibilities would include the following:

  • Supporting the business/treasury function of the bank by giving advisory on all treasury related matters from Compliance Perspective.
  • Supporting the team lead in reviewing Treasury related Products, Policies, Processes and notes. It involves providing compliance advisory and feedback giving feedbacks and advice to ensure the bank processes are comprehensive and compliant with regulatory guidelines.
  • Advising on all matters relating to Market risk.
  • Review and support the team lead in advising/reviewing all Statutory Audit Related Certificates.
  • Advising on all matters relating to Finance including Disclosures in financial statements related to Investment, Borrowing, Derivative, Market risk, Liquidity risk etc.
  • Collaborating with other assurance functions like risk and internal audit for regulatory matters.
  • Carrying out select testing and monitoring of regulatory risk areas of treasury to ensure compliance with RBI guidelines.
  • Getting involved in implementation of new circular at Bank level on all treasury related matters.
  • Assisting the team during the time of RBI Audit by co-ordinating and collaborating with stakeholders to provide information and details requested by RBI.
  • Resolving the points raised by RBI in inspection reports including conducting root cause analysis for regulatory violations.
  • Engage with regulators and support business stakeholder needs as and when required, to obtain clarity on the regulations and secure approvals where required.
  • Supporting the team lead in business reviews, review of concurrent audit reports, preparation of MIS data etc.


Job Requirement:


  • CA/MBA with 2-3 Yrs exp in Treasury Compliance/Audit
  • Knowledge about key regulatory requirements relating to banking and financial services segment.
  • Hands-on experience of implementing or monitoring implementation of regulations/ Prior audit or assurance background will be preferred.
  • 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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