Officer / Am - Accounting Control; Regulatory

**Position Purpose**
- Responsible for performing timely & proper checks related to vigilance/screening tools and other checks as per group policy and internal procedures in role of SHINE L2.
- To compile and send regulatory reporting?s for trade and cash
- To provide MIS and other statistics to stakeholders/regulators/auditors/inspectors
- To perform control at Level 1 for all sensitive accounts/abnormal accounts, collect information branches for central monitoring of various functions done at the branches

**Operations Management**
- Timely completion of vigilance checks, MAG, escalation to Local Compliance Team, intimation to branches/RMs/clients to collect information to be provided to Fircosoft Team/USD Control Team or other relevant teams
- Ensure that up-to-date group guidelines are applied while performing the vigilance checks
- Timely update of the systems - SATURN, CASE, SUN etc. for closure of hits.
- To compile and send all regulatory reportings for trade and cash
- To provide MIS and other statistics to stakeholders/regulators/auditors/inspectors
- To perform control at Level 1 for all sensitive accounts/abnormal accounts, collect information branches for central monitoring of various functions done at the branches
- Update SOPs as and when changes take place and review on a yearly basis.
- SWIFT controls ? Reconciliation of SWIFT messages with the CBS for above threshold values
- Prepare dashboards and presentations for the controls

**Direct Responsibilities**

Monitoring of Sensitive Accounts/OMR Reconciliation/Abnormal Accounts / Pending workflow Queues / Other monitoring/Control activities from time to time
- Compile and disseminate sensitive Accounts to various stakeholder at the defined intervals
- Compile and disseminate abnormal accounts, and advise the stakeholders to regularize
- Escalate to the management irregular cases at the defined intervals
- Timely Submission of OMR (forex entries reconciliation)
- To collect information from branches for submission to L2 Accounting Control Team
- Update SOPs as and when changes take place and review on a yearly basis.
- Prepare dashboards and presentations for the controls
- SWIFT controls ? Reconciliation of SWIFT messages with the CBS for above threshold values

**Vigilance, MAG, Fircosoft, SUN, SATURN, HERMES++, TBML, CASE, USD Controls**
- Timely completion of vigilance checks, escalation to Local Compliance Team, intimation to branches/RMs/clients to collect information to be provided to Fircosoft Team/USD Control Team or other relevant teams
- Ensure that up-to-date group guidelines are applied while performing the vigilance checks
- Timely update of the systems - SATURN, CASE, SUN etc. for closure of hits.
- Ensure that reports are disseminated to all concerned to avoid any customer complaints
- Ensure that records are maintained properly for inspection/providing MIS.
- Update SOPs at regular intervals, and reviewed on yearly basis.

**Filing of Returns and MIS**
- Keep an updated list of Returns to be submitted to RBI & other regulators
- Ensure timely submission of Returns and other regulatory reportings
- Ensure timely submission of MIS to the management/business
- Automate manual returns/MIS (macros, etc.) which cannot be generated from systems
- Collect and store data systematically well in advance to cater to various requirements
- Update the reporting Tracker on a timely basis
- Circulate the dashboard to Head-CCTO, Operations on a regular basis

**Compliance**

**A**. Review and monitor compliance with internal procedures and regulatory guidelines and to follow the internal accounting norms.

**B.** Co-ordinate with Branches & BO for submission of regulatory & internal returns on time.

**C.** To strictly comply with internal guidelines on Code of conduct and Internal Control Charter.

Anti?Money Laundering / Financial Sanctions ?AML/FS?) related duties: Operations are an integral part of the control framework including for AML/FS topics. In that respect, in performing your role you are expected to ensure adherence to AML/FS?related Group Policies and execution of associated operational controls, and to promptly escalate any resulting hit for analysis and decision.

**D. **Bring Direct contribution to operational permanent control framework

**E. **Minimize operational failure, including but not exclusively the risk of fraud by helping to devise and by implementing sufficient regular controls

**F. **Ensure appropriate escalation to management and/or permanent control (or compliance as appropriate) as soon as an issue is identified.

**G. **Comply with internal and external regulatory and compliance requirements

**H. **Comply with the Banks standards of Code of Conduct

**J. **Comply with the Banks IT Security policies

**Operations Management**
- Timely completion of vigilance checks, MAG, escalation to Local Compliance Team, intimation to branches/RMs/clients to collect information to be provided to Fircosoft Team/USD Contro