AU Small Finance Bank - Manager - Business Compliance

AU Small Finance Bank-Manager-Business Compliance- Jaipur

- Review all the new product note as per the applicable regulatory guidelines and ensure monitoring the non- compliance if any

- Identification of areas where compliance risk may increase due to change in regulatory guidelines. Assessment of such risk, formulating procedures in consensus with respective stakeholder to mitigate such risks

- Handle business queries on interpretation of regulation and management of RBI customer complaints independently

- Reviewing bank's policies/ procedures on adherence with the regulatory guidelines

- Track and ensure that all regulatory guidelines with accurate actionable have been published to respective departments

- Streamline process of Compliance Certification across business units. lapses in the business units through compliance certificates and fix the issues identified

- Performing/ reviewing/ monitoring Compliance testing of respective business areas/units as per the plan. Identifying compliance lapses and recommends changes. Publication of compliance testing report to senior management and track the open point for early closure.

- Training to business team on change in RBI guidelines and impact on existing policy and business

- Ensure all MIS/Dashboards are published with accurate as on date status to the senior management