Compliance Leader

9 hours ago

Pune, Maharashtra, India beBeeRegulatory Full time ₹ 1,50,00,000 - ₹ 2,50,00,000
Job Description

The primary objective of this role is to lead the management of regulatory compliance across the entity life cycle, encompassing onboarding, post-modifications, and closure. This involves ensuring adherence to regulatory standards, maintaining robust internal control frameworks, and implementing daily regulatory compliance requirements.

Responsibilities include conducting comprehensive product audits and compliance checks, monitoring and tracking regulatory circulars, preparing and submitting timely and accurate regulatory reports, and reviewing and validating data sources used for regulatory reporting.

  • Conduct periodic reviews to ensure customer onboarding and lifecycle management processes align with regulatory standards.
  • Collaborate with internal teams to gather data and ensure accuracy in reports.
  • Maintain strong documentation and audit trails for all submissions.
Key Skills and Qualifications
  • 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.
  • Strong understanding of banking product lifecycles and customer onboarding processes.
  • Deep understanding of RBI guidelines and Regulatory Reporting.
Benefits

This role offers an opportunity to demonstrate thought leadership and process improvement initiatives by driving control across audit observations, good performance across RISK scorecards, and ensuring compliance for reporting to relevant external and internal authorities.

Deliverables
  1. Updation of SoPs basis guidelines and compliances laid by Regulator(s) like RBI, UIDAI, CERSAI etc. with respect to Manual Onboarding Operations.
  2. Periodic Onboarding Due Diligence – Such as 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.

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