Compliance advisory

3 days ago

Mumbai, India 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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