Financial Regulatory Compliance Officer

5 days ago

Ahmedabad, Gujarat, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 1,50,00,000

Regulatory Compliance Specialist

The role involves working with banks to ensure adherence to regulatory standards. As a Subject Matter Expert, you will be responsible for reviewing and submitting timely and accurate regulatory reports.

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

This role requires in-depth knowledge of KYC regulations and related circulars. Strong understanding of banking product lifecycles and customer onboarding processes is also essential.

  • Deliverables include updation of Standard Operating Procedures (SOPs) basis guidelines and compliances laid by Regulator(s), periodic onboarding due diligence, and ensuring clean compliance and reporting.

Decision level:

Primary: Working experience in Banks for KYC / AML Onboarding and Management of Control tasks such 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 and inputs to business basis Control team inputs.

Educational Level: Graduate/Post-Graduate with understanding of KYC guidelines, Analysis Skill, goodSkill set on MS office & SQL.

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