Role holder should have 5-10 years of post-qualification experience with very positive communication skills, hands on with Credit regulations (Wholesale/ Retail) and compliances thereunder.
Strategic/ Managerial Responsibilities Guiding Business Units on Regulatory Compliance for transactions handled by the Bank covering Credit regulations.
Core Responsibilities
Guidance & Advisory
Provides guidance and support to business teams on their queries pertaining to Credit (Wholesale and Retail) regulations/guidelines issued by RBI
Liaising with RBI for seeking clarification
Product & Process Note Review
Review of Product and Process note to ensure that product/ process notes are compliant from regulatory perspective.
Ensures that compliance comments are communicated and discussed with the product owner post internal discussions.
Circular Tracker Implementation
Ensure that regulatory guidelines are disseminated within prescribed timelines
Identification, review of action point and dissemination to stakeholders
Follow up with stakeholder to ensure that regulatory guidelines are implemented by the relevant unit(s).
Testing of compliance submitted by stakeholder before closure of circular action points
Training Devise online training module , periodic updation etc
Audit Committee / Board Submission
Ensure preparation and submission of quarterly compliance agenda notes to CS team
Preparation of Monthly Report on Compliance Activities
People Management or Self-Management Responsibilities Need to interaction with Business Unit / Product Team / Operation Unit
Need to interact with the middle/senior management of Business Unit/ Product Team/ Operation Unit
Risk and Internal Control Responsibilities
SECTION IV: KEY INTERACTIONS
Key Internal Interactions Purpose of Interaction
Business Unit / Product Team and Central Compliance Team For Guidance and support to Business Teams / Product Team / Operation team on th
📌 Compliance Officer Advisory (Mumbai)
🏢 Yes Bank
📍 Mumbai
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