Compliance Operations

1 week ago

Mumbai, Maharashtra, India Yes Bank Full time ₹ 1,04,000 - ₹ 1,30,878 per year

Objective

The role holder is responsible for disseminating, tracking and monitoring Regulatory Communications, Circular Dissemination to respective Stakeholders, Maintaining Circular Implementation Tracker, Maintaining Regulatory returns tracker and publishing of MIS for Reg communications, circulars and returns.

Responsibilities Core Responsibilities :

Regulatory Communication Tracker : Dissemination of Regulatory communication to internal stakeholders, follow up and track with respective stakeholders for response submission and submission of response to regulators.

  • Maintaining the Regcom Tracker and publishing of monthly MIS under Supervisors guidance
  • Maintain repository of Regulatory communications
  • Preparing data inputs for Audit/ RBS queries/other stakeholder requests Circular Tracker
  • Undertakes dissemination of regulatory guidelines and subsequent tracking in the Circular Tracker. Undertakes preparation and circulation of monthly CIT MIS to Senior Management and relevant stakeholders Regulatory Returns Tracker
  • Creation, modification, discontinuation of returns basis regulatory guidelines and subsequent tracking in the Returns Tracker
  • Undertakes preparation and circulation of fortnightly Regulatory Returns MIS to Senior Management and relevant stakeholders Other Compliance Operations activities:
  • Contribute to Compliance projects, automation initiatives and other similar activities. Operate as maker for data entry, uploading of submission, ID creations and reconciliation on Regulatory portals managed by Compliance Team.
  • Liasoning interaction with regulators and quasi regulators as well as with internal stakeholders.
  • Participate in the departmental audits and implement practices to bridge gaps identified during departmental audit

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