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Associate Compliance Manager Brickwork Ratings (BWR)

3.0 - 8.0 years

9 - 13 Lacs

Bengaluru

Work from Office

The role requires considerable experience in Regulatory Compliance with experience reading, interpreting, tracking, and assisting in administrating internal and external guidelines to comply with all regulatory requirements. Must be adept in the preparation of MIS Reports / Dashboards using Advanced Excel Spreadsheets. The individual will be responsible for maintaining repositories, preparing monthly and ad-hoc reports Role & responsibilities - Strict control over Organizational Data Repository related to Regulatory Compliance for Preparation of Regulatory reports, Dashboards, Presentations. - Proficient in Regulatory Circulars/Guidelines' Interpretation. Assisting the Compliance Officer in gap analysis on new Regulatory Guidelines to ensure implementation. - Collaborate with various departments for comprehensive Regulatory Compliance management and keep the Compliance Officer updated on any shortcomings to be addressed. - Hands-on experience in assisting the Compliance Officer in preparing the periodical and ad-hoc Regulatory Reports sought by SEBI/RBI. - Ensure compliance of staff to policies such as Staff Accountability Policy, Trading Policy, Code of Conduct, etc., and maintain related documentary evidence. - Answering employee queries relating to compliance-related matters Skills and Competencies: - Domain Knowledge of Regulatory Compliance - Strong understanding of legal and regulatory requirements in the financial services industry - specifically in credit rating agencies/banks/NBFCs. - Strong understanding of regulatory requirements (SEBI, RBI, NSDL) and relevant industry standards. Familiarity with regulatory portals such as NSDL etc. - Proficient in MS Office. Especially an Excel expert with Advanced Excel skills, and the ability to analyze complex data and present meaningful reports to senior management. - Team Player with the ability to execute compliance projects focused on regulatory compliance. Provides necessary support to the Compliance Officer to implement compliance and risk management policies. - Strong analytical, problem-solving, verbal, and written communication skills. Attention to detail. Job Location: Bangalore Education: Bachelor's degree in Finance, or and Law, or a related field; Post Graduation and any additional certifications in these fields will be an added advantage. Experience: 3+ years of relevant experience in the Compliance division in financial services institutions such as credit rating agencies/banks/NBFCs.

Posted 2 weeks ago

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Compliance - Digital Banking Skillventory

10 - 20 years

25 - 40 Lacs

Navi Mumbai, Mumbai (All Areas)

Work from Office

Role & responsibilities Provide compliance advisory on Digital Lending and product journeys as per RBI guidelines Interpret regulatory circulars and notify senior management on potential compliance risks Partner with business teams to ensure regulatory compliance for new/existing products Product lifecycle experience as project manager Vet internal policies, forms, and business circulars from a compliance perspective Handle RBI inspection processes and assist in preparation/closure of RAR reports Conduct compliance training for CAROs/business stakeholders Test processes/controls and track regulatory observations across units Provide inputs for senior management dashboards and compliance risk reports Liaise with peer banks and regulators for clarifications and bench-marking Preferred candidate profile Possess an understanding of all Regulatory and Banks internal guidelines pertaining to Digital Lending and Product journeys and ensuring Bank's compliance as per said guidelines. Able to analyze the 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. Partner 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. Track the implementation of actionable emanating from the guidelines, in coordination with respective Business teams (wherever required) Assist in RBI Inspection process, discussion & closure of RAR Report Conduct trainings for CAROs/ respective business teams on requirements under Compliance Culture

Posted 1 month ago

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