1. Handling end to end activities related to Compliance Testing
2. Vetting and providing Compliance Clearance to the Policies, Circulars, Queries, Products, Processes etc.
3. Compliance Risk Assessment ,Product reviews and Risk Based Supervision
4. Conduct compliance testing for various departments in the bank like Investment banking/Wealth Management. Review the process and its effectiveness with the risk and measures/control put in place and its operations for Compliance.
5. Compliance Monitoring – Conduct on-going monitoring reviews for various processes like Investment Suitability, Outstanding wok list, Cross border monitoring to ensure Compliance.
6. Developing and overseeing control systems to prevent or deal with violations of legal guidelines and internal policies.
7. Assess the business’s future ventures to identify possible compliance risks.
8. Conduct Compliance Testing of the Bank functional areas, activities and processes viz.
Liberalized Remittance
Scheme, Other Miscellaneous remittances etc. to ensure that the same is in line with regulatory guidelines.
9. Monthly monitoring and testing of compliances by analysing data for various identified parameters
10. Analysing of various reports such as Internal Audit report, adverse media report, compliance breaches
11. Ensuring regulatory and internal guidelines deviation tracking and update to relevant stakeholders
1.
Handling end to end activities related to Compliance Testing
2. Vetting and providing Compliance Clearance to the Policies, Circulars, Queries, Products, Processes etc.
3. Compliance Risk Assessment ,Product reviews and Risk Based Supervision
4. Conduct compliance testing for various departments in the bank like Investment banking/Wealth Management. Review the process and its effectiveness with the risk and measures/control put in place and its operations for Compliance.
5. Compliance Monitoring – Conduct on-going monitoring reviews for various processes like Investment Suitability, Outstanding wok list, Cross border monitoring to ensure Compliance.
6. Developing and overseeing control systems to prevent or deal with violations of legal guidelines and internal policies.
7. Assess the business’s future ventures to identify possible compliance risks.
8. Conduct Compliance Testing of the Bank functional areas, activities and processes viz.
Liberalized Remittance
Scheme, Other Miscellaneous remittances etc. to ensure that the same is in line with regulatory guidelines.
9. Monthly monitoring and testing of compliances by analysing data for various identified parameters
10. Analysing of various reports such as Internal Audit report, adverse media report, compliance breaches
11. Ensuring regulatory and internal guidelines deviation tracking and update to relevant stakeholders