Compliance Manager

2 weeks ago

india IndusInd Bank Full time

About the role:

We are looking for an experienced Compliance Senior Manager who is well-versed in the current legal / regulatory frameworks applicable for Banks, Non Bank Financial Sectors, Insurance sector and corporate governance best practices in order to support all aspects of IndusInd's regulatory compliance practices including program management for various regulatory implementations, risk assessment, licensing, training and building and implementing policies and procedures across the entire IndusInd ecosystem.

The ideal candidate should be self-motivated and should be able to think creatively about leveraging technology to improve business processes and related compliance programs. The role will report into the Director, Compliance at IndusInd and will interface with stakeholders from legal ,risk teams, product teams, business teams and mid-level management to build compliance policies and implement procedures.

As such, the role demands that you are a professional of high ethical standards with prior regulatory compliance experience and are able to work diligently to complete your duties either independently or otherwise, keeping in mind the objectives of IndusInd. You must be comfortable communicating with various stakeholders to deliver compliance objectives and be result-oriented to ensure that your requirements are delivered on time. The mission would be to ideate and implement industry defining compliance standards and practices at IndusInd.


Roles & Responsibilities:

  • Proactively identify and document potential areas, compliance risks and partner with business and stakeholders to formulate plans to mitigate and safeguard the organization from regulatory non compliance risks.
  • Manage Regulatory Change Management by carrying out Impact Analysis of new laws and regulations and ensure their dissemination and implementation by the various functions.
  • Monitor and assess the Company’s compliance status through periodic process reviews on a sample basis.
  • Work on end-to-end product cycle from conceptualization to launch of the product.
  • Conduct a Market Research of the products available in the market.
  • Ensure regulatory compliance checks through Self-Assessment modules and by conducting Compliance Risk Assessment activity
  • Review all compliance related policies and SOPs on periodic basis
  • Represent the Compliance Function in various internal and external meetings and forums.
  • Ensure Compliance to U/W and issuance policy and procedures, product
  • Ensure periodic quality check of the processes including system based and related data upkeep
  • Enrollment and documentation relating to intermediary management
  • Communications management with stakeholders around underwriting and issuance, including banks,
  • E-repositories, hospitals, TPAs, government departments such as RTO, etc
  • Liaise with F&A to ensure compliance to Stamp duty and GST relating to U/W and issuance
  • Conducting quality review of data, and information, which are relating to processes concerning the underwriting and issuance. Reconcile data and record the differences in the usable formats.
  • Have insight into the entire business structure including all IT infrastructure.
  • Understand the criticality of process under the light of overall business objectives.
  • Produce periodic and adhoc reports for regulatory bodies and key stakeholders.
  • Understand the various data definitions and terminologies and educate the stakeholders such as DB and Tech, as required.
  • Handle half yearly technical audits and other auditors; provide essential info and maintain audit trails.

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