Officer - Compliance

1 week ago

India Sumitomo Mitsui Banking Corporation (SMBC) Full time

Responsible for handling Compliance related function of the India Branches and assist / support LCO for overall Compliance Function in the Branches.
- Issue Branch Circulars for all staff members of the Branch highlighting the regulatory requirements.
- Conduct various Training (classroom Training, On Line training etc) to educate the branch staff and also to test their knowledge through mini test/quiz on compliance issues.
- Keep a track and strict monitoring of all correspondences with the Regulator and ensure that responses to regulatory authorities are properly submitted within the stipulated period of time.
- Vetting the Policies and procedures of various departments of Bank from Legal & Compliance perspective to standardize the same and to also vetting of the review thereof as and when undertaken by the concerned Department as per Bank Policy.
- Compliance Self Review in line with the Approved Compliance Risk Assessment and Action Plan and put up the report to the Management.
- To carry out Compliance testing in line with the RBI guidelines which includes compliance testing of regulations covered in Tranche-IV under RBS framework.
- To arrange for In Office Compliance Committee Meeting on bimonthly basis to discuss significant compliance matters in line with the HO guidelines.
- Arrange Customer Service Committee Meeting on a quarterly basis in line with RBI guidelines.
- Submission of report to HO in a timely manner in line with the extant guidelines.
- Any other responsibility assigned by the Head of Department.

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