Compliance Officer

1 month ago

Bengaluru, India osbIndia Private Ltd. Full time

12 Oct 2023

Location : Bengaluru

Job Type : Full Time

**Introduction**:
Support OSB Group Plc Compliance Assurance team by undertaking risk based routine monitoring (RM) to test the effectiveness of the key regulatory preventative and detective controls on a regular basis. Act as a member of second line of defence to support the Bank in its duty to discharge its regulatory responsibilities as part of RM.

In addition, contribute to the achievement of the Group’s business goals in what continues to be, a rapidly changing conduct, regulatory environment and to promote a robust and effective compliance and conduct risk culture within the Bank.

**Core Responsibilities**:

- Perform MI analysis and root cause to identify customer or business impacting risks for review.
- Undertake comprehensive risk based and customer outcomes focussed monitoring.
- Maintain accurate records for RM in relation to evidences, business notifications, response, closure of actions, minutes, trackers etc.
- Communicate comprehensive RM findings to respective stakeholders.
- Provide a clear summary of findings and clearly call out the impact it has on our customer and business.
- Ensure the data you share for committee reports and other RM MI is accurate, relevant and consistent.
- Maintain knowledge of the internal policies, procedures and changes in business to be able to complete monitoring effectively.
- Maintain the company’s compliance standards and ensure timely completion of all mandatory on-line training modules and attestations.
- Complete any specialist training necessary to maintain knowledge and competency,
- Maintain effective communication with your Line Manager ensuring any challenges or obstacles in completing the monitoring are brought to their attention.
- Support your Line Manager and the Team in utilising resource to accomplish the scheduled routine monitoring.
- Build relationships with colleagues and actively share and seek knowledge to expand your understanding of RM.
- Ensure strict adherence to company’s security policies and procedures.
- Act as an ambassador for the bank’s compliance and conduct risk culture and standards, demonstrating the highest standards of behaviours at all times.

**Experience Requirements**:

- A minimum of 24 months previous experience working within the UK banking services industry (desirable).
- A good understanding of mortgages and related aspects is (desirable).

**Knowledge Requirements**:

- Knowledge of the UK residential and BTL/commercial mortgages.
- Understanding of UK Bank regulators and relevance of FCA handbook.
- Working knowledge of the Financial Conduct Authority (FCA)
- Knowledge of UK retail savings bank and associated products is desirable.

**Skill and Competency Requirements**:

- Have excellent attention to detail and ability to analyse and interpret information.
- Excellent knowledge of Microsoft Word, Excel and PowerPoint is essential
- Good analytical and reasoning skills
- Good communication and listening skills.
- Attention to detail and effective time management.
- Good writing skills.
- Perform to a high standard detailed investigation and convey of monitoring results.
- Demonstrate the ability to plan and prioritise your workload and work in an organised way in order to meet established deadlines.

**Qualifications/Certifications**:

- Graduation in any stream is essential.

**Responsibilities on Information Security Management System (as per ISO 27001 Certification Requirements)**:

- Ensure strict adherence to company’s security policies and procedures (for ex: Password policy, clear screen and clear desk policy, etc.)
- Take ownership of all the assets/information assigned and secure it in compliance with ISO 27001 standard implemented in the company.
- Co-operate and co-ordinate for the internal audits conducted in the company (complying to ISO 27001 standard).
- Report to the Incident Response Manager, any incidents you come across in the office with regard to Security threats like threats to physical asset & stored information or any risks detrimental to the Security Policies of the company, etc.
- Responsible to supervise in ensuring that all personnel reporting to you shall observe all Security requirements and be appropriately trained in Security.

**How to apply**:

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