6 Compliance Advisory Jobs

Role & responsibilities Responsible for discharge of compliance function with respect to issues pertaining to SBB/CBG/Retail Operations/CBO/ Credit Risk. Understanding all Regulatory and Banks internal guidelines pertaining to Corporate Credit (including MSME/ SBB) and ensuring Bank's compliance as per said guidelines Analysing impact of Regulatory Circulars /Directions/Notifications issued by RBI/ any other regulator and inform the Senior Management about the Compliance Risk emanating if the guidelines are not implemented within the Regulatory timelines as prescribed by the Regulator. Partnering with Business Departments on various aspects of Regulations applicable to their business and providing them solutions on matters referred by them in new and existing products and processes. Tracking the implementation in coordination with Business teams (wherever required) Assisting in RBI Inspection process & closure of RAR Report Fair/'hands on' idea of CBS/ some of the softwares used in conduct and administration of corporate credit business in the Bank and co- ordination with IT to understand and facilitate system changes/ technological initiatives with respect to credit issues and solution.

Role & responsibilities Handling Compliance with above mentioned regulations pertaining to Mutual Fund & Insurance Distribution Business of the Bank. Circulating action points arising out of regulatory circulars/notifications/communications and pro-active follow up with the stakeholders ensuring timely implementation of the same. Reviewing existing and new processes and handling correspondences with the regulators on Compliance related matters. Handling Onsite Regulatory Inspections of SEBI, IRDA Providing clarifications on queries raised by stakeholders within the Bank and from Group entities on Compliance related matters. Drafting and vetting of various submissions to be made to the ACB/Board. Submission of various regulatory reports from time to time. People Management or Self-Management Responsibilities Need to interaction with various regulatory authorities viz. SEBI, IRDA. Need to interact with the middle management and senior management of the Bank. Preferred candidate profile

Role & responsibilities Providing regulatory guidance on various business structures and transactions pertaining to the treasury and PD operations. Reviewing various product and process notes pertaining to the treasury and PD operations of the Bank from a regulatory point of view. Regularly interacting with the regulators to seek clarifications on guidelines or representing various business proposals for their approval. Ensuring that the action points from the latest regulations are shared with the concerned stakeholders and the same are implemented within regulatory prescribed deadlines or within suitable time in absence of any regulatory prescribed deadlines. Ensuring that accurate MIS are prepared and circulated to the Top Management on a timely basis. Ensuring that various compliance related notes are prepared and submitted to the Board / Board Level Committees on a timely basis either through placing it in the meeting or through circulation. Preferred candidate profile

- Provide backend support for sales operations and actively convert leads into clients to generate revenue for the company - Engage with prospective clients through digital platforms - Meet individual and team targets - Maintain & update CRM systems Required Candidate profile -Graduate in Commerce, Business Administration,Law, or MBA preferred -1-3 years of experience in B2B client servicin -Strong verbal and written communication skills -Ability to multi-task & close deal Perks and benefits Incentives

Job Purpose: This role is responsible for the development and design of methodologies and standards for review activities across the products in alignment with Compliance Risk Framework. Testing, validation, and documentation of review activities for new and existing products and controls according to standards and other applicable policies. Overseeing the effective implementation of testing observations, tracking and closure of all compliance requirements by coordinating with respective functions. Owning projects and tracking, preparing Compliance dashboards for reviews and implement action points, building and maintaining healthy business relations with external and internal customers. Key Responsibilities Functional Responsibilities Outcome of Risk assessment Compliance control point shall be defined, and testing will be carried out. Planning and execution of Compliance testing. Establish and maintain comprehensive compliance testing programs to identify, assess, and highlight compliance risks. Monitor and test compliance by performing sufficient and representative Compliance testing and result of such compliance testing shall be reported to the Senior Management. Track Compliance testing observation open points, coordinate with respective team for implementation and track until closure of testing. Responsible for executing the proposed Compliance projects. Support the reporting manager on regulatory reporting. Support the reporting manager in handling / preparedness of RBI inspection like Co-ordinate with respective team, data collection, review the documents and Finalization of RBI datas, day to day RBI Correspondences, returns filing and circulation of Compliance MIS. Job Requirements Qualifications: CA / CMA /Any graduate Experience 2 - 5 Years relevant experience in Compliance / Internal audit / Internal Control from Banks / NBFC s / Consulting Functional Competencies Drive and initiative, strong commitment, ability to take ownership, Analytical acumen, eye for details, Smart thinkingHigh level of integrity, professionalism, and attention to detailExp in handling various projects Behavioral Competencies Strong Analytical, Interpersonal and Convincing skillsStrong communication and interpersonal skillsProblem solving and decision-making skillsPeople management and networking skills

The jobholder will have the responsibility for ensuring good corporate governance and compliance with regulatory environment. He/ She will support the Compliance function in the organization by providing compliance assurance, including below: Responsible for dissemination of the regulatory notifications, carry out impact analyses on new laws and ongoing monitoring of implementation Drive Implementation of various notifications from Authorities by coordinating with various teams and ensure timely implementation Maintaining repository of all regulatory changes to ensure its timely availability Providing compliance advise on issues pertaining to implementations of laws Providing well researched inputs to shape new laws and regulations within prescribed timelines Partnering with business to implement new laws, regulations, initiatives and distribution tie-ups smoothly Ensure timely submission of periodic regulatory reports and adhoc requirements raised by the regulator/council. Providing extensive legal search and evaluating industry benchmark to opine on various business initiatives and legal provisions. Vetting and approving the insurance advertisements Support business team by working on multiple themes, ensuring the advertisement process, internal guidelines. Compliance requirements are being adhered. Ensuring proper drafting, reviewing and vetting of product related documents viz policy terms & conditions and key feature document Supporting business by proactively participating in different meetings and giving inputs from legal and compliance point of view Review of Advertisements and related compliances New Law Dissemination and Driving Implementation Submission of Adhoc Requirements Compliance Advisory Analytical Thinking and Judgment: Ability to support necessary inputs for decisions by using the information systematically ability to interpret complex concepts and cause and effect relationships Company & Industry Know How: knowledge and understanding of the organization & industry Regulatory Requirements: knowledge and understanding of regulatory requirements and how to meet these on a day to day basis. Drafting & Documentation Skills: Has the ability to draft legal documents; Good Documentation skills for record maintenance Subject Matter Expertise: Has complete domain knowledge Connecting with Others: Ability to effectively bring together diverse teams to jointly create results Experience in insurance industry and handling of advertisement approvals/regulatory implementation Company Secretary/LLB or CA preferred