Regulatory Compliance Professional

1 week ago

Pushkar, Rajasthan, India beBeeRegulatory Full time ₹ 80,00,000 - ₹ 1,50,00,000

Regulatory Operations Job Description

Job Purpose

The role of this position requires a detail-oriented and experienced professional to ensure compliance with regulatory standards. The ideal candidate will have a strong background in banking, relevant regulatory knowledge, and expertise in KYC regulations.

Key Responsibilities:
  1. Conduct comprehensive product audits and 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, focusing on KYC-related guidelines.
  5. Prepare and submit regulatory reports according to 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 to gather data and ensure accuracy in reports.
  9. Maintain strong documentation and audit trails for all submissions.
  10. Support 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 implementing new regulatory reporting requirements and upgrades to reporting systems.

This incumbent is expected to manage entire control management across the entity life-cycle (onboarding, post-modifications, and closure) of entities identified by the bank's Standard Operating Procedure (SoP) for performance of any onboarding-related consequence management or control actions.

Deliverables:
  1. Update SoPs based on guidelines and compliances laid by Regulators (RBI, UIDAI, CERSAI, etc.) with respect to Manual Onboarding Operations.
  2. 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.
  3. Ensure Clean Compliance and reporting, nil Audit observations, Process adherence from the team as per SoP and Way-of-Working.
  4. Interact with teams like Product, IT, CBS, CX, Risk, Audit, Compliance, Internal Control (Control Functions).

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