Compliance Advisory

1 day 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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