Compliance Officer

3 weeks ago

Varanasi, India Mashreq Full time

Job Purpose :--


Maintain ongoing awareness/knowledge of all regulations set by the Reserve Bank of India (RBI) and interpret the same to the relevant units within the organization to ensure adherence.

Support the Head of Compliance in submitting Compliance risks and Compliance Monitoring reports to Country Manager/ MANCO as per the RBI Regulations on Compliance Function.

Support the Head of Compliance with the Compliance Risk assessment.

Support the Head Compliance to specifically devise a time-bound strategy to ensure that compliance on all specified points in the RBI Inspection Report is achieved by various stakeholders within the time frame.

Perform Compliance Monitoring and Testing as per the plan devised based on the compliance risk evaluated in each business line at periodical intervals and put up the results to the India Management Committee.

Support the Head of Compliance to adhere with the directives issued by Financial Intelligence Unit India (FIU-Ind) and Other Indian Financial Sector Regulators.

Support the Head of Compliance in the review of the compliance risks in all new products and processes put up to the Compliance department.

Support the team during the day-to-day operations of the unit, ensuring compliance to regulatory requirements and Mashreq’s AML/KYC/ Sanctions and other Compliance policies and procedures.

Support the team in advising business areas to achieve their business goals while adequately addressing Compliance-related issues so that the Bank is not overexposed to regulatory, reputational or other risks. Extend support to business units by providing compliant and workable solutions to regulatory requirements and intervene wherever necessary to decline a transaction/process/business proposal.

Assist the Compliance Manager in pro-actively and promptly escalating any critical issues to ensure that the Bank is not investigated, charged, fined or publicly castigated by either RBI or any other regulatory authority.

Support the Compliance Manager in the implementation of Compliance initiatives and special projects as may be determined / guided by HO-IBG Compliance from time-to-time.


Key Result Areas:--


Key Result Areas

  • Support the Compliance Manager in Conducting Compliance Risk Assessment (CRA) exercise on an annual basis.
  • Review Trade Based Money Laundering (TBML) alerts shared on a weekly basis and manual RFIs raised by Business/Operations team on a timely manner.
  • Review Correspondent Banking Transaction (CBTM) alerts shared monthly and manual RFIs raised by Business/Operations team on a timely manner.
  • Respond to the circulars / notices / letters / updates received from regulatory authorities / enforcement agencies on a timely manner.
  • Review the alerts generated in the Fircosoft Perpetual screening on a timely manner.
  • Conduct half yearly risk categorization as mandated under RBI directions.
  • Review payment/trade transactions in Fircosoft Continuity that may lead to violate sanctions norm on a timely manner.
  • Review AML alerts in SAS system and report SAR/STR (if required) on a timely manner.
  • Conduct Compliance Monitoring as per plan approved by HO within the stipulated timeline.
  • Providing support to other compliance staff members in their respective areas as and when required.
  • Map the HRC list, account class, transaction code and UBO in the SAS system on a timely manner.
  • Review the name screening results referred by the Business team.
  • Advise the business team & other stakeholders on the queries raised to Compliance relating the RBI regulations.
  • Provide clearance in line with Bank's policy and RBI norms on the fresh KYCs/KYC renewals within the timeline.
  • Disseminate the key regulatory update/notification with the concerned stakeholders.
  • Assist in compliance related projects/UATs as and when required and ensure that they are successfully completed within the required time frame.
  • Conduct RCSA operating tests on a timely manner as Risk analyst.
  • Conduct system access review on a half yearly basis.
  • Provide compliance training to the branch/Mashreq group staff as per the plan approved by HO from compliance perspective.
  • Provide clearance within the TAT in line with Bank's policy and RBI norms on the non account exporters referred to Compliance by Beneficiary RM in the RTO system.
  • Conduct parameter / threshold review on a yearly basis.


Knowledge, Skills and Experience


  • Around 5-6 years of experience in banking and / or relevant fields, e.g. law, commerce, risk etc. A strong sales/operational background would also be very useful.
  • Professional qualification in business / commerce / economics / law.
  • Basic understanding of international banking law / practice and products / services.
  • General overview/knowledge / experience related to compliance / AML / Central Bank regulations.
  • Ability to plan/organize
  • Commitment to results
  • Ability to influence & negotiate
  • Decision making ability
  • Team player and participation experience in variety of banking initiatives and solutions.
  • Good decision making ability and administrative and interpersonal skills

Computer literate and strong command of written and spoken English. Arabic is an advantage.

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