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5.0

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37 HRhelpdesk Jobs

Assistant Manager / Manager - Compliance

HRhelpdesk

5.0

based on 1 Review

0-5 years

Mumbai

1 vacancy

Assistant Manager / Manager - Compliance

HRhelpdesk

posted 27d ago

Job Role Insights

Key skills for the job

Digital Marketing Proposals Senior Management Policies Closure

Job Description

Compliance Policy Implementation Assist the Board and the Senior Management in overseeing the implementation of Compliance Policy, including policies and procedures, prescriptions in Compliance Manuals, internal codes of conduct, etc Dissemination and implementation of Regulatory guidelines/Actions as per Regulatory Inspection Reports Ensure compliance of regulatory / supervisory directions given by RBI in both letter and spirit in a time-bound and sustainable manner

Regulatory Advisory The Compliance Department shall also serve as a reference point for the staff from operational departments seeking clarifications / interpretation of various regulatory and statutory guidelines

Compliance risk assessment carry out an annual Compliance risk assessment in order to identify and assess major Compliance risks faced by them and prepare a plan to manage the risks

Compliance Testing Compliance Function shall monitor and test Compliance and the results of such Compliance testing shall be reported to the Senior Management

Facilitate smooth conduct of regulatory inspections

TrackingTrack to ensure that regulatory returns are being submitted within timeline

Review policies, processes, business proposals, marketing material, customer communications from a regulatory compliance perspective

Ensure policy formulation mainly relating to KYC-AML, FPC, Outsourcing

Brief the management and concerned stakeholders on regulatory developments

Involvement of Compliance Function from initial stages in development of new products and processes

To ensure closure of all the observations emanated out of the Inspection Reports

Reporting to the RBI Reporting of various requirements to the RBI, SSM team

Report suspicious transactions and cash transactions with FIU and ensure compliances under PMLA

Qualification Experience

CA /CA (Inter) / CS / CS(Inter)/ L L B

Candidates from Banks (HO)

Employment Type: Full Time, Permanent

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