Job highlights
Skills / Experience

a. Skills

Development of compliance related policies and procedures

Development of Compliance Risk Assessment Framework

Developed compliance indicators for monitoring of key compliance requirements

Preparation of Compliance testing plan and performing compliance reviews

Preparation of Compliance dashboards and reporting

Compliance Advisory on specific banking divisions or products.
Conduct Risk a.

Skills / Experience

Creation and maintenance of conduct risk management framework, and where necessary enhance the procedures and systems relating to the management of conduct risk to ensure that the Boards risk appetite and all regulatory requirements are met.

Communication of the conduct framework requirements, policies and procedures through reporting and delivering appropriate training for relevant business teams.

Maintenance the conduct risk assessment methodology, perform assessments, conduct related due diligence and identify and implement appropriate controls to mitigate risks identified.

Preparation and implementation of Boards risk appetite relating to Conduct Risk is implemented throughout the business.





Maintenance and enhancement, where necessary, of the Conduct Risk Framework,

considering any emerging conduct risks and regulation.

Provide advice and training to the business in respect of conduct risk issues.

Oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects.

Ensure appropriate conduct risk management information (MI) is made available to the relevant governance bodies within the business on a timely basis.

Analyse conduct risk MI and undertake root cause analysis in respect of complaints.

Circulate market updates and guidance in relation to conduct risk matters, as necessary,

liaising with the Compliance Officer/Compliance team to provide a unified response to the business in respect of regulatory requirements relating to consumer and high conduct risk business / codes of best practice and regulatory developments.

Oversee complaints handling and management

Prepare reporting packs for Senior Management and Board for Conduct Risk.

📌 Regulatory Compliances Mumbai
🏢 Acme Services
📍 Mumbai