Compliance and Regulatory Manager

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Compliance and Regulatory Manager Interview Questions and Answers

Updated 1 Dec 2024

Q1. What are all the off balance sheet items in banks ?

Ans.

Off balance sheet items in banks are financial instruments or contingent liabilities that do not appear on the bank's balance sheet.

  • Loan commitments

  • Letters of credit

  • Derivatives contracts

  • Securitization transactions

  • Standby letters of credit

Q2. What is LCR & NSFR and its purpose?

Ans.

LCR & NSFR are regulatory requirements that banks must meet to ensure they have enough liquidity to withstand financial stress.

  • LCR stands for Liquidity Coverage Ratio and measures a bank's ability to meet its short-term obligations with high-quality liquid assets.

  • NSFR stands for Net Stable Funding Ratio and assesses a bank's long-term stability by comparing available stable funding to required stable funding.

  • The purpose of LCR and NSFR is to ensure banks have enough liquidity...read more

Q3. What is Forward rate agreement?

Ans.

A forward rate agreement (FRA) is a financial contract between two parties to exchange interest rate payments based on a specified notional amount and a predetermined interest rate.

  • FRA is a derivative contract where one party agrees to pay a fixed interest rate while the other party agrees to pay a floating interest rate based on a notional amount.

  • It helps in hedging against interest rate risk by locking in a future interest rate.

  • FRAs are typically settled in cash at the begi...read more

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