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Manager - Compliance

Mumbai, MH
Job Code:
  • Banking & Finance
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Job Details

1. Support the Head- Legal & Compliance in monitoring and managing compliance risks forSuryoday2. Drive adherence to compliance policies & processes across the entire banks business operations.3. Maintain Compliance Policy and Compliance procedures based on regulatory requirements4. Develop the annual compliance work plan that outlines the banks risk areas andmitigations plans to handle the same5. Work with various departments/ segments to guide them to perform business activities incompliance with laid out regulations6. Work with various department / group heads and guide them to be compliant whenintroducing new products with regulatory requirements7. Work with various departments to ensure that Compliance Monitoring Tools and controlprocesses are effectively deployed and that business is conducted in accordance with theCompliance Policies8. Handle regulatory problems arising from alleged or actual breaches in cases where there isa material risk to the reputation of the organization, so as to avoid / minimize reputation damage9. Raise unusual transactions to the attention of the Head- Legal & Compliance in a timelymanner and provide complete details to support presentation of the case to the seniormanagement10. Guide departments in preparing draft responses for any findings/queries/questions thatarise during the RBI inspection11. Coordinate the Compliance training program to ensure all relevant staff receive regulartraining on compliance issues12. Assist the Head Legal and Compliance to maintain corporate books and records pertainingto legal and compliance matters13. Compile the compliance violation incidents reported and the appropriateness of theresolution plan and present them to Audit Committee and Top Management14. Lead investigations in cases of unusual transactions/ compliance issues in the bank15. Monitor and coordinate external audit review process16. Oversee establishment of internal controls, procedure systems reporting with regard toFraud Prevention, Anti Money Laundering (AML) in line with Banks AML policy and procedures.17.Assist in analyzing AMC alerts, gather information and analyse the cases & thereafter report the same on the case.18.Create a compliance culture in the organisation .19.Conduct periodical compliance inspection base on RSCA for department.20.Disseminate the regulatory guidelines to the department & guide them for implementation.RBI Coordination21. Implement new guidelines around the bank as issued by the RBI22. Participate in periodic discussions held between the Bank and the RBI/ Auditors/Any otherregulators.23. Implement timely action on various instructions/mails received from RBI and coordinatewith different departments to drive compliance around the same24. Assist the Head- Legal & compliance in assessing the Annual Compliance Risk of the Bank25. Maintain proper audit trail for all compliance related MIS reports26. Prepare responses to all RBI queries within prescribed time frame27. Preparation and file all required reports to ROC, IRDA, RBI and other regulatory bodies in atimely manner.
Degree: MBA/ PGDM

Additional Degree: BA (Arts) | B.Com. (Commerce) | B.Pharm. (Pharmacy) | B.Plan. (Planning) | B.Sc. (Science) | BBA/ BBM/ BBS | BCA (Computer Application) | Diploma-Other Diploma | B.Ed. (Education) | BHM (Hotel Management)

Experience: 5-8


Credit Control & Collections | Finance/Budgeting | Financial Analysis | Funds Management
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