Head of Regulatory Desk

3 weeks ago

Mumbai, India Riverforest Connections Private Limited Full time

PositionPurpose

The Head of theRegulatory Desk in Compliance supports the Territory ChiefCompliance Officer on ensuring local regulatory requirements aremet including

Partnershipwith Business & Compliance DomainHeads: Partner and collaboratingclosely with the Compliance Domain Heads to provide SME support onregulatory topics related to the respective domain in order tosupport clients business strategy and growth whilst ensuringinternal policies and regulatory requirements arefulfilled.

Transformation& Industrialisation: Own andmanage Regulatory responsibilities for the Bank including relatedsystems / utilities managing deployment and monitoring and activelylook for opportunities to enhance/industralise the Complianceoperationalframework.

ActiveSupervisory Engagement & RiskManagement plan and facilitateregular/periodic engagement with regulators by Compliance CEO andrelevant business heads (as needed) to ensure adherence toregulatory expectations and continue advocacy efforts to helpprotect the Bank/Group franchise from existing and emergingCompliance risks. Act as primary SPOC for all inspections andqueries

DirectResponsibilities

Partnershipwith Business & Compliance Domain Heads:

  • Assistwith Regulatory Advisory to Business andFunctions
  • Provide transversalregulatory watch and monitoring of regulatory evolutions that havean impact of the business or operations activities within theBank/Territory and follow the general principles (the RegulatoryWatch Best Practices) of the regulatory watch process. Theseinclude but not limited to (i) identification (and update whereneeded) of appropriate regulatory watch sources; (ii) having aprocess in place for regular monitoring of such sources; (iii)communication on relevant regulatory watch developments to allnecessarystakeholders.
  • Local ComplianceRegulatory Office acts as local text identification leaders(Leader) for Compliance and can be assisted by potentialcontributors (local or regional such as Regional Compliance domainswho can contribute to high level impact assessment anddetermination of concerned operating entities).
  • Partner andcollaborate closely with the Compliance Domain Heads to provide SMEsupport on regulatory topics and ensure relevantcirculars/guidelines/advisories related to their respective domainare duly discussed andunderstood

Regulatory/Supervisory & Industry Engagement:

  • Buildstrong working relationships at the relevant levels acrossregulators RBI SEBI other Banking industrial bodies /quasiregulators such as IBA FEDAI FIMMDA etc.
  • Maintain an annualcalendar of regulatory meetings for Compliance to support advocacyand supervisory engagement efforts and ensure meetings duly loggedand any action items followedup on andclosed.
  • The Head ofRegulatory Desk will also be required to attend meetings withRegulators Quasiregulators and Banking industrial bodies from timeto time
  • Connect with industryforums and other Banks compliance officers to better understandindustry trends peer practice on management of existing Compliancerisks and assessment of emergingrisks.

Regulatory& InternalReporting:

  • Ensuretracking monitoring and validating where required of submission ofvarious returns / data to Regulators including Tranche I II and IIIunder Risk Based Supervision ofRBI.
  • Provide guidance onand manage timely reporting to HO / Region / Local (RBI/SEBI etc.)correspondence with Regulators / HO / Region MIS / reporting toRegulators.

Governance

  • OperateAPAC Territory Compliance Committees (TCC) or any other Crossfunction committee (such as Bank Compliance Committee BCC) to coverkey regulatory watch topics and to decide on appropriate measuresto be taken (e.g. launch of regulatory projects) and to monitortheirimplementation.
  • Conducting andparticipating in various statutorily required committee meetingsincluding coordinating MANCO as meetingsecretary.
  • Review of andparticipation in TAC / NACproposals

Ensure adherence toAML / FSrelated Group policies/ local regulations and execution ofassociated controls (if any) and to promptly escalate any resultingassessment to the relevant authority / central FS team fornecessary action being control function2LOD.

Act as a backup toroles suggested and support in other areas of Compliance activitiesas assigned by CCO

Assist Head ofCompliance in special assignments /projects

Required:

  • High levelknowledge of various regulatory guidelines under Banking RegulationActs RBI FEMA & SEBIguidelines
  • Experience onindependent handling of regulatory/internal reports disseminationof notifications
  • Knowledge on AML& KYC related regulations and guidelines FinancialSecurity
  • High level ofknowledge of various regulatory guidelines under the BankingRegulation Act RBI FEDAI FIMMDA & SEBIguidelines
  • Expertise in eitherBanking and/or Global market & ALMT regulations and productswould be anadvantage.

EducationLevel: Master Degree or equivalent (>4years)

ExperienceLevel: At least 12years

compliance,compliancemanagement,compliance manager,KYC,AML,compliance officer,compliancespecialist,compliance head,RegulatoryCompliance

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