Chief Compliance Officer

Role & responsibilities

Regulatory Compliance Oversight -

• Develop, implement, and monitor the Banks compliance framework and policies.
• Ensure adherence to applicable laws, regulations (RBI, SEBI, AML, FEMA, etc.), and internal policies.
• Maintain up-to-date knowledge of changes in laws/regulations affecting banking operations

Risk Management

• Identify and assess compliance risks and develop mitigation strategies
• Support the Enterprise Risk Management (ERM) framework by integrating compliance risks
• Lead compliance audits and respond to regulatory findings

Policy & Process Development

• Draft and review compliance-related policies, manuals, and codes of conduct
• Standardize compliance procedures across all departments and branches

Training & Awareness

• Conduct compliance training programs for employees and board members
• Promote a strong compliance culture within the organization

. Monitoring & Reporting

• Monitor compliance with internal policies and external regulatory requirements
• Prepare compliance reports for senior management, the Audit Committee, and regulatory authorities
• Ensure timely filing of regulatory returns and disclosures

Liaison with Regulators

• Serve as the primary point of contact for regulatory bodies (e.g., RBI, SEBI, FIU, etc.).
• Handle regulatory inspections and coordinate responses to queries and audits.

Preferred candidate profile -

• Education: Bachelors degree in Law, Finance, Business Administration, or a related field (mandatory). A Masters degree, CA, or certification in compliance (e.g., ICA, ACAMS) is preferred
• Experience: Minimum 1015 years of experience in banking or financial services, with at least 5 years in a senior compliance role
• In-depth knowledge of banking laws, RBI regulations, AML norms, Compliance standards

Key Skills -

• Strong understanding of banking regulations and compliance frameworks
• Analytical thinking and risk assessment capabilities
• Excellent leadership, communication, and stakeholder management skills
• High ethical standards and integrity
• Ability to work under pressure and meet regulatory deadlines

talentcapital@dnsb.co.in