Business Unit Compliance Officer WB

6 days ago

Mumbai India YES BANK Full time

Job Description 'The role of Wholesale Banking - Business Unit Compliance Officer (WB BUCO) is to reinforce the compliance culture in Wholesale Banking and proactively addressing regulatory and operational risk minimizing losses and providing operational stability. It encompasses implementation of regulatory guidelines within all Wholesale Banking Business and Product units, viz. Large Corporates, Mid-Corporates, Financial Institutions, Government Institutions, Multinational Corporates, Transaction Banking, Project Finance, and Loan Syndication, working in close coordination with Central Compliance and Operational Risk Management units Importance of WB BUCO role - Strengthens Compliance Culture - Reinforces the Bank's Zero Tolerance to compliance and operational risks. - Mitigates Risks - Helps identify assess and address compliance risks proactively. - Ensures Business Stability - Protects the Bank from legal, financial and reputational harm. - Effective management of Operational risk - Enhances monitoring and accountability within each unit in Wholesale Banking by proactive identification, assessment and mitigation of risks arising from internal and external events. Roles & Responsibilities - Ideal candidate should possess sound Business acumen and Business understanding of All client segments and product units within Wholesale Banking domain (Large & Mid-Corporates, Financial Institutions, Government Institutions, and Multinational Corporates, Transaction Banking, Project Finance, and Loan Syndication) and must have a flair for governance and control. - Be a one point contact to provide on ground support to business/ product/operations teams on their queries pertaining to RBI regulations. - Works as a bridge between Business and Central compliance team for effective implementation of regulatory guidelines. - Ensure timely submission of Business data sought for regulatory compliances. - Review of the response to regulatory correspondence and ensure timely submission of responses. - Ensure timely closure of pending open issues and verification of evidences to ensure that the open points are closed adequately. - Ensure timely submission of product and process notes for approval of Product and Process Approval Committee. - Ensure timely reporting and booking of losses due to operational risk events. - Ensure timely reporting of frauds/notices from Law Enforcement Agencies. - Conduct Root Cause Analysis (RCA) and implementation of risk mitigation measures for High and Significant operational risk events. - Ensure timely review and comprehensive submission of Business Continuity Plan and conducting Business Continuity testing as per the scheduled plans.

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