Regulatory Compliance Specialist

20 hours ago

Vijayawada, Andhra Pradesh, India beBeeRegulatory Full time ₹ 10,00,000 - ₹ 1,50,00,000
Job Overview

This role is centered around the management of regulatory compliance, specifically within banking and financial institutions. The ideal candidate will be responsible for ensuring adherence to regulatory standards through comprehensive product audits, monitoring, and implementing daily compliance requirements.

The incumbent will also be tasked with developing and maintaining robust internal control frameworks for banking products, as well as tracking and implementing regulatory circulars related to KYC guidelines. Additionally, they will be responsible for preparing and submitting timely and accurate regulatory reports in accordance with jurisdictional guidelines.

Responsibilities
  • Conduct comprehensive product audits and compliance checks to ensure adherence to regulatory standards.
  • Monitor and implement daily regulatory compliance requirements.
  • Develop and maintain robust internal control frameworks for banking products.
  • Implement and track regulatory circulars, with a specific focus on KYC-related guidelines.
  • Prepare and submit regulatory reports as per jurisdictional guidelines.
  • Review, validate, and reconcile data sources used for regulatory reporting, ensuring accuracy and completeness.
  • Conduct periodic reviews to ensure customer onboarding and lifecycle management processes align with regulatory standards.
  • Collaborate with internal teams including Finance, Risk, and Compliance to gather data and ensure accuracy in reports.
  • Maintain strong documentation and audit trails for all submissions.
  • Support in data submissions to compliance, internal audit teams, and regulators.
  • Leverage data analytics for insights, ensuring proficiency in data extraction, manipulation, and reporting.
  • Assist in the implementation of new regulatory reporting requirements and upgrades to reporting systems.


Requirements
  • In-depth knowledge of KYC regulations and related circulars.
  • Strong understanding of banking product lifecycles and customer onboarding processes.
  • Other online-based certifications for name screening.


Deliverables
  • Updation of SoPs basis guidelines and compliances laid by regulators (like RBI, UIDAI, CERSAI, etc.) with respect to manual onboarding operations.
  • Periodic onboarding due diligence – creation/management/closure of accounts, name screening for individual and non-individual entities (including BCs and BC agents), and individuals as authorized signatories of these entities.
  • Ensure clean compliance and reporting, nil audit observations, process adherence from the team as per SoP and way-of-working.
  • Interacting with teams like product, IT, CBS, CX, risk, audit, compliance, internal control (control functions).


Decision Level
Primary: Must have working experience in banks for KYC/AML onboarding and management of control tasks such as name screening, risk profile-based customer CDD/EDD, consequence management action, and process enhancement. Shared: Reporting, analysis, and operations across processes ranging from individual customer to non-individual customer and retailer/distributor verticals. Contributory: Process improvement in regulatory reporting's, inputs to business basis control team inputs. Educational Level: Graduate/Post-graduate Understanding of KYC guidelines, analysis skill, good skill set on MS Office & SQL Understanding of name screening KYC/AML activities. Deep understanding of RBI guidelines and regulatory reporting.

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