Objective The incumbent would be primarily responsible for conducting Compliance reviews of Banks functions and recent products to give reasonable assurance to the Management regarding compliance with regulatory norms.
Responsibilities
Assistance in preparation of Compliance Review plan to be put up to the Board.
Preparation and updating of Compliance review checklists in line with the regulatory guidelines/internal policies.
Undertaking field work and ensuring that the review is completed within the prescribed timelines.
Preparation of Draft Compliance Review report and discuss the same with the relevant stakeholders.
Obtain the responses from the stakeholders and preparation of Final Compliance Review Report.
Ensure proper documentation and working papers are maintained for all the compliance reviews conducted.
Preparation of Open Issue tracker for Compliance Review Reports issued.
Follow up with the management towards closure of compliance review open issues.
Essential competencies
In depth knowledge of the regulatory setting for the banks in India particularly RBI.
Positive research capabilities and intelligent interpretation of regulatory guidelines.
📌 Walk In Compliance Testing 10th October Drive Mumbai
🏢 Yes Bank
📍 Mumbai
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