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Compliance advisory
4 weeks ago
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 ResponsibilitiesA. 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 clarificationB. 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 pointsD. Training· Provide periodic training on RBI guidelines pertaining to Credit Portfolio · Devise online training module , periodic updation etcE. Audit Committee / Board Submission· Ensure preparation and submission of quarterly compliance agenda notes to CS team· Preparation of Monthly Report on Compliance ActivitiesPeople 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 UnitRisk and Internal Control ResponsibilitiesKEY 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 / guidanceKNOWLEDGE & 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)
