Regulatory Compliance Manager

2 weeks ago


Navi Mumbai, Maharashtra, India The Premier Consultants ( Recruitment Company ) Full time

Job opening for Regulatory Compliance in a Private Bank at Navi Mumbai.

Role: Regulatory Compliance

Location: Navi Mumbai

Work Mode: Work from Office

Work days: 6 Days (alternate Saturdays are off)

Job Roles & Responsibilities:

Oversee daily regulatory compliance requirements related to RBI, PMLA, UIDAI, NPCI, CKYC, etc., which includes:

  • Circulating regulatory guidelines to relevant stakeholders, maintaining compliance trackers, ensuring follow-ups, and confirming adherence to guidelines.
  • Promptly sharing regulatory correspondences with stakeholders and submitting responses after verifying their accuracy and completeness.
  • Updating compliance status for executive and board-led committees.
  • Managing end-to-end compliance testing, including planning, execution, result validation, and ensuring closure of identified observations.
  • Overseeing the Risk-Based Supervision (RBS) process for the bank from initiation to completion.

Handle various cross-functional compliance matters, such as:

  • Reviewing product proposals from a compliance standpoint.
  • Assessing agreements with vendors and business partners to ensure compliance adherence.
  • Managing internal audits of the compliance department.
  • Ensuring timely closure of audit reports.
  • Coordinating with departments for RBS audits, sharing observations, ensuring compliance, and submitting timely responses.

Oversee dashboard management by:

  • Tracking action items from Board, Board-led, and Management Committee meetings.
  • Monitoring pending compliance actions related to regulatory guidelines.
  • Keeping track of open compliance testing observations and their resolution timelines.

Manage documentation and reporting for Board and Management Committees, including:

  • Preparing presentations and notes for compliance-related discussions at various committee meetings.
  • Verifying that draft and final minutes of meetings accurately reflect the discussions held.
  • Coordinating with the Company Secretary (CS) team to ensure timely submission of notes, presentations, meeting minutes, and Action Taken Reports (ATR), if applicable.

Interested candidates can share their resume on kiran@thepremierconsultants.com

#RegulatoryCompliance #RBI Reporting #Tranche #ComplianceTesting #RBIGuidelines #RBIRegulations #RiskBasedSupervision



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