Compliance Advisory

6 months ago

Mumbai, India Right-Tic Full time

**Role of Compliance Advisory**

a) Understand and implement the compliance approach as defined by the Compliance policy

b) Provide guidance and advise on Regulatory matters to businesses and internal stakeholders

c) Business Advisory - advising business on various product related to Payments Bank (CASA, Digital Banking, Products, IT, Treasury etc) on regulatory guidelines and applicability thereof.

d) To serve as a reference point for the staff from operational departments for seeking clarifications / interpretation of regulatory guidelines.

e) To assist the CCO in fulfilling the obligations of the Compliance function.

f) Preparation of various reports including submission to the Board

g) Assist the CCO to play the central role in identifying the level of Compliance risk in the organization

h) Providing guidance/clarification on KYC related matters

g) Regular interaction with Regulators on various matters and approvals

**No. Key Accountabilities**

**1.**
- To assist the Chief Compliance officer (CCO) in overseeing the implementation of Compliance Policy, including policies and procedures, prescriptions in Compliance Manuals, internal codes of conduct, etc. Oversea reviews as per the Risk Based Compliance review Plan approved by the Audit Committee of the Board
- To serve as a reference point for the staff from operational departments for seeking clarifications / interpretation of regulatory guidelines.
- Provide guidance and advise on Regulatory matters to businesses and internal stakeholders
- Business Advisory - advising business on various product related to Payments Bank (CASA, Digital Banking, Treasury etc) on regulatory guidelines and applicability thereof.
- Preparation of various reports including submission to the Board, collaborate with stakeholders on various matters related to reviews
- Oversight on Regulatory Inspection and its related deliverables
- Preparation of various reports including submission to the Board on a periodic basis
- Prepare presentations for the Audit Committee of the Board and lead discussions in periodic meetings with the stakeholders
- Ensure timely completion of review reports & Tranchee III deliverables
- Assist Business on Annual Banking Outlet Expansion plan (ABOEP) approvals & related matters
- Providing advice on AML /KYC matters and policies
- Providing guidance on UIDAI related matters
- Provide guidance on NPCI related matters & guidelines
- Liase with regulator on obtaining clarification, approvals on various matters

**2.**Provide advisory support & guidance on Compliance related matters to various stakeholders. Act as a point of contact for RBI Team and assist CCO during the Inspection

**3.**Oversea the Compliance review to ensure the work is completed as per agreed timelines and as per requisite quality

**4.**Keep abreast of technological innovations, regulatory updates, etc. in the banking and financial services industry.

**5.**Continuously improve and motivate other members within the team to learn through online and offline trainings

**6.**Should have a good understanding of the industry and risk management practices, knowledge of regulations, legal requirements, and have sensitivity to Supervisory expectations discussions held with RBI.

**EDUCATIONAL QUALIFICATIONS**:

- **Include Additional Certification Required if any**_

**Necessary**:CA/MBA from reputed institution or similar qualification

**Desirable**:Additional certifications like - CIA, CAIIB and CISA

**Relevant Experience**

**Necessary**:8 - 10 years of experience in Banking especially on the retial banking side and handled products such as UPI, AEPS, DMT etc. Understanding of the Compliance function in Banks is desirable.

Good understanding of the KYC / AML polices & procedures

**Benefits**:

- Paid sick time

Schedule:

- Day shift

Supplemental pay types:

- Commission pay
- Performance bonus

**Education**:

- Bachelor's (preferred)

Work Location: In person

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