Compliance Officer

2 days ago

Vadodara, Gujarat, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,50,00,000
Regulatory Compliance Specialist

The primary objective of this role is to ensure that our banking operations are in compliance with regulatory requirements.

  • Key Responsibilities:
  1. Conduct thorough product audits and compliance checks to guarantee adherence to regulatory standards.
  2. Monitor and implement daily regulatory compliance requirements, ensuring accuracy and timeliness.
  3. Develop and maintain robust internal control frameworks for banking products, addressing key risk areas.
  4. Implement and track regulatory circulars, focusing on KYC-related guidelines and recommendations.
  5. Prepare and submit timely regulatory reports in accordance with jurisdictional guidelines.
  6. Validate, reconcile, and verify data sources used for regulatory reporting, ensuring accuracy and completeness.
  7. Regularly review customer onboarding and lifecycle management processes to ensure alignment with regulatory standards.
  8. Collaborate with internal teams, including Finance, Risk, and Compliance, to gather data and ensure the accuracy of reports.
  9. Maintain strong documentation and audit trails for all submissions.
  10. Support data submissions to compliance, internal audit teams, and regulators.
  11. Apply data analytics insights, leveraging proficiency in data extraction, manipulation, and reporting.
  12. Assist in implementing new regulatory reporting requirements and upgrades to reporting systems.

This role requires a deep understanding of regulatory bodies such as RBI, UIDAI, CERSAI, NeSL, CRILIC, and the Ministry of Corporate Affairs, as well as relevant URLs and websites.

As a Regulatory Compliance Specialist, you will provide thought leadership and process improvement initiatives, demonstrating control across audit observations, good performance on risk scorecards, and compliance with reporting to external and internal authorities.

Deliverables:
  1. Update SOPs based on guidelines and compliances from regulatory bodies (RBI, UIDAI, CERSAI, etc.) regarding manual onboarding operations.
  2. Perform periodic onboarding due diligence, including creation, management, and closure of accounts, name screening for individual and non-individual entities, and authorized signatories.
  3. Ensure clean compliance and reporting, zero audit observations, and process adherence from the team as per SOP and way-of-working.
  4. Interact with teams like Product, IT, CBS, CX, Risk, Audit, Compliance, and Internal Control.
Requirements:
  1. Must have working experience in banks for KYC/AML onboarding and management of control tasks, name screening, risk profile-based customer CDD/EDD, consequence management actions, and process enhancement.
Skills and Qualifications:
  • Graduate/Post-Graduate degree
  • Understanding of KYC guidelines, analysis skills, and proficiency in MS Office and SQL

Strong analytical and problem-solving skills, with the ability to apply data-driven insights and recommendations. Proficiency in data analysis tools and technologies is a plus.

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