Compliance and Principal Officer-ibu

8 months ago

Gandhinagar, India IDFC FIRST Bank Full time

Role/ Job Title

: Compliance & Principal Officer - IBU

Business

: Corporate Function

**Function/ Department**:
Compliance

**Place of Work**:
Gandhinagar

**Job Purpose**:
The role of Compliance Officer (CO) & Principal Officer (PO) at GIFT City IBU is a Designated Position and to be always held by an Approved Individual, as per IFSCA regulations.

As CO & PO of the IBU, you need to perform your duties objectively and independently of operational and business functions. You shall have ultimate responsibility for all compliance matters pertaining to IBU’s activities.

**Key / Primary Responsibilities**:
**As Compliance Officer**:
'- Advisory support to various business and operations regarding IFSCA regulatory compliance and to manage overall Compliance risk in the business of IBU transactions.
- Interaction with the IFSCA Authority, understanding the regulatory requirements and dissemination of IFSCA regulations/guidelines/circulars relating to IBU.
- Implementing Regulatory IFSC/RBI/FEMA/FEDAI guidelines and internal policies with respect to IBU
- Risk Based Supervision Co-ordinating off site and Onsite Review by IFSCA and other auditors.
- Formulation and Periodic review of Policies / Product Notes/SOP/SLA with respect to IBU.
- Establishing Compliance Monitoring Plan and review of the same.
- Assisting Walk through and Control testing, Outsourcing review every half year.
- Draft/Assist in vetting of regulatory correspondences.
- To perform other Compliance activities as may be assigned by the governing body.

**As Principal Officer**:

- Handle the vital role of KYC/AML compliance in the capacity of the Principal Officer of IBU.
- Carrying out, or overseeing the carrying out of, ongoing monitoring of business relations for

compliance with the regulatory guidelines.
- Promoting compliance of the regulatory guidelines and taking overall charge of all AML/CFT matters.
- Informing employees, officers and representatives promptly of regulatory changes.
- Ensuring a speedy and appropriate reaction to any matter in which ML/TF is suspected.
- Communicating Regulators, repository agencies such as RBI, FIU IND etc. from time to time.
- Responsible for ensuring implementation of AML scenarios as per extant regulatory guidelines, reviewing and dispose-off alerts/transactions and file regulatory reports under PMLA such as STR/ CTR/CBWTR/ NTR/CCR or such other extant regulations as applicable from time to time.

**Secondary Responsibilities**:

- Positive and collaborative attitude with good communication skills.
- Thorough with RBI & FEMA regulations, preferably international business.
- Ability to understand evolving regulatory landscape and formulate/ review policies.
- Proactive in learning & self-development.

**Key Success Metrics**:
'- Positive and collaborative attitude with good communication skills.
- Thorough with RBI & FEMA regulations, preferably international business.
- Ability to understand evolving regulatory landscape and formulate/ review policies.
- Proactive in learning & self-development.

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