Compliance Advisory

3 weeks ago

Mumbai Maharashtra India, Maharashtra YES BANK Full time

ROLE SUMMARY

Role holder should have 12-15 years of post-qualification experience with very good communication skills, hands on with Credit regulations (Wholesale/ Retail) and compliances thereunder.

KEY RESPONSIBILITIES/ ACCOUNTABILITIES

Strategic/ Managerial Responsibilities

Guiding Business Units on Regulatory Compliance for transactions handled by the Bank covering Credit regulations.

Core Responsibilities

A. Guidance & Advisory

· Provides guidance and support to business teams on their queries pertaining to Credit (Wholesale and Retail) regulations/guidelines issued by RBI

· Liaising with RBI for seeking clarification

B. Product & Process Note Review

· Review of Product and Process note to ensure that product/ process notes are compliant from regulatory perspective.

· Representing Compliance unit in PPAC Committee Discussion

· Ensures that compliance comments are communicated and discussed with the product owner post internal discussions.

C. Circular Tracker Implementation

· Ensure that regulatory guidelines are disseminated within prescribed timelines

· Identification, review of action point and dissemination to stakeholders

· Follow up with stakeholder to ensure that regulatory guidelines are implemented by the relevant unit(s).

· Testing of compliance submitted by stakeholder before closure of circular action points

D. Training

· Provide periodic training on RBI guidelines pertaining to Credit Portfolio

· Devise online training module , periodic updation etc

E. Audit Committee / Board Submission

· Ensure preparation and submission of quarterly compliance agenda notes to CS team

· Preparation of Monthly Report on Compliance Activities

People Management or Self-Management Responsibilities

§ Need to interaction with Business Unit / Product Team / Operation Unit

§ Need to interact with the middle/senior management of Business Unit/ Product Team/ Operation Unit

Risk and Internal Control Responsibilities

KEY INTERACTIONS

Key Internal Interactions

Purpose of Interaction

Business Unit / Product Team and Central Compliance Team

§ For Guidance and support to Business Teams / Product Team / Operation team on their queries pertaining to Credit regulations/guidelines issued by RBI.

Key External Interactions

Purpose of Interaction

§ Interaction with RBI for seeking clarification / guidance

KNOWLEDGE & EXPERIENCE

KNOWLEDGE

Minimum Qualifications

§ CA/CS/CMA/LLB

Professional Certifications

§ CA/CS/CMA/LLB

Language Skills

§ English

EXPERIENCE

Years of Experience

§ 12-15 Years

Nature of

Experience

§ Preferably have worked in Credit (Wholesale/ Retail) advisory in a Bank (Compliance department or Business Compliance)

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