Compliance Advisory

4 weeks ago

Mumbai, Maharashtra, 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)

  • Compliance Advisory

    6 days ago

    Mumbai, Maharashtra, India YES BANK Full time ₹ 1,04,000 - ₹ 1,30,878 per year

    ROLE SUMMARYRole 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/ ACCOUNTABILITIESStrategic/ Managerial ResponsibilitiesGuiding Business Units on Regulatory Compliance for transactions handled by the Bank...

  • Head - Senior Relationship Manager - Investment Advisory

    1 week ago

    Mumbai, Maharashtra, India 4S Advisory Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    We are seeking highly energetic, self-motivated individuals with a passion for creating a holistic, technology-driven wealth management experience for their customers.Your excellent strategic thinking, analytical and problem-solving skills, superb people skills, effective stakeholder management, and a keen eye for detail are what enable you to effectively...

  • Accounting Advisory

    1 week ago

    Mumbai, Maharashtra, India Promaynov Advisory Services Pvt. Ltd Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    Key Responsibilities:Advise clients on accounting and financial reporting standards (Ind AS, IFRS, US GAAP)Assist in the implementation of new accounting standards (e.g., Ind AS 115, 116, 109)Prepare technical accounting memos and position papersAssist in GAAP conversion engagements - Indian GAAP to Ind AS / IFRS / US GAAPDraft and review financial...

  • Compliance Advisory

    4 days ago

    Mumbai, Maharashtra, India, Maharashtra 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/ ACCOUNTABILITIESStrategic/ Managerial ResponsibilitiesGuiding Business Units on Regulatory Compliance for transactions handled by the...

  • Transaction Advisory

    1 week ago

    Mumbai, Maharashtra, India Walter Advisors Full time ₹ 12,00,000 - ₹ 24,00,000 per year

    Position:Assistant Vice President – Transaction Advisory (M&A)Location:Mumbai (on-site)Experience Required:Chartered Accountant (CA) with a minimum of 5 years of post-qualification experience specifically in M&A and Transaction Advisory Services.Role Overview:As AVP – Transaction Advisory, you will play a critical role in executing M&A deals and advisory...

  • Compliance Officer

    2 weeks ago

    Mumbai, Maharashtra, India 4S Advisory Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About the job:Exciting opportunity to join a top performing private equity firm as a Compliance Officer.The Compliance Officer will play a critical role in ensuring that our firm and its funds adhere to all relevant laws, regulations, and internal policies.The ideal candidate will have a strong understanding of regulatory environment and a commitment to...

  • Compliance Officer IT Advisory

    2 weeks ago

    Mumbai, Maharashtra, India YES BANK Full time ₹ 6,00,000 - ₹ 12,00,000 per year

    Position Compliance – ITReporting to Head - RBSObjective The incumbent would be primarily responsible for co-ordinating regulatory inspections.ResponsibilitiesTake care of IT compliance & also conduct Information Systems Audit for the Bank.Experience in conducting Information Systems and Security audits, application control reviews and application...

  • Manager Transaction Advisory

    6 days ago

    Mumbai, Maharashtra, India Aritra Partners Full time ₹ 12,00,000 - ₹ 36,00,000 per year

    About UsWe partner with founders and funders to bring clarity, confidence, and continuity to every stage of the venture journey. With deep expertise across Finance, Taxation, Legal, Compliance, and Growth Strategy, we go beyond advisory, we help you navigate complexity with purpose and precision.At Aritra Partners, we don't just offer solutions, we offer...

  • Manager - Tax and Regulatory Services

    4 days ago

    Mumbai, Maharashtra, India EFFIINEXT Advisory LLP Full time ₹ 15,00,000 - ₹ 25,00,000 per year

    Company DescriptionEFFIINEXT Advisory LLP is a tax consulting firm specializing in M&A Tax, Corporate Tax, Litigation Strategy, Fund Set up, Fund Compliances, and AIF Advisory. The firm is dedicated to providing comprehensive tax and regulatory services to clients, ensuring compliance and strategic planning. EFFIINEXT Advisory LLP serves a diverse range of...

  • Associate/ Senior Associate

    2 days ago

    Mumbai, Maharashtra, India UJA Global Advisory Full time ₹ 20,00,000 - ₹ 25,00,000 per year

    Position: Associate/ Senior Associate Company Secretarial and Law Job Location: Chembur, MumbaiAbout the Company:UJA Global Advisory Pvt. LTD. UJA is a leading international advisory, business consulting and strategic consulting firm of India established in 1996 as a Chartered Accountant (CA) Firm. UJA is headquartered in Pune and has it's branch offices in...