Senior Regulatory Compliance Officer

4 days ago

Jodhpur, Rajasthan, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,20,00,000
Regulatory Operations Specialist

Purpose of the Job:

This is a senior role requiring a detail-oriented and experienced professional to manage regulatory reporting for our banking operations.

Main Responsibilities:
  1. Conduct comprehensive audits and compliance checks to ensure adherence to regulatory standards, including KYC/AML guidelines.
  2. Monitor and implement daily regulatory compliance requirements, collaborating with internal teams to gather data and ensure accuracy in reports.
  3. Develop and maintain robust control frameworks for banking products, ensuring timely and accurate submission of regulatory reports.
  4. Implement and track regulatory circulars, focusing on KYC-related guidelines and maintaining strong documentation and audit trails.
  5. Prepare and submit reports as per jurisdictional guidelines, leveraging data analytics for insights and proficiency in data extraction, manipulation, and reporting.
  6. Review, validate, and reconcile data sources used for regulatory reporting, ensuring accuracy and completeness.
  7. Collaborate with risk, compliance, and finance teams to implement new regulatory reporting requirements and upgrades to reporting systems.
  8. Maintain knowledge of extant norms and guidelines from regulatory bodies such as RBI, UIDAI, CERSAI, and Ministry of Corporate Affairs.

The incumbent is expected to act as a catalyst for managing entire control management across entity life-cycles, providing thought leadership and process improvement initiatives.

Deliverables:
  1. Updation of Standard Operating Procedures (SOPs) based on regulatory guidelines and compliances.
  2. Periodic onboarding due diligence, including creation, management, and closure of accounts, name screening, and authorized signatories.
  3. Clean compliance and reporting with nil audit observations, adhering to SOPs and Way-of-Working.
  4. Interacting with teams like Product, IT, CBS, CX, Risk, Audit, Compliance, and Internal Control.
Decision Level:

Primary: Must have 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, 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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