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14/09 Monika
CEO at Career Connect

Views:561 Applications:102 Rec. Actions:Recruiter Actions:10

Compliance Manager - Bank (3-8 yrs)

Mumbai Job Code: 1154776

Our client is a MNC Bank based at Mumbai.

We are looking for a Compliance Manager with the following Job Specifications/Responsibilities :

- Advise and assist the management on SEBI/statutory/regulatory compliance laws, rules and standards, including keeping them informed on developments by establishing written guidance to staff on the appropriate implementation of the above through policies and procedures and other documents such as compliance manuals, internal codes of conduct and practice guidelines

- To provide clarification on any compliance related issues

- Vet the guidelines/circulars issued, for compliance with regulatory guidelines, before these are disseminated amongst the operational units

- Responsible for the creation and updation of the Compliance and Ethics program plan and ensure its execution

- Formulation/implementation/periodic review the Compliance Monitoring Plan as per Group requirements

- Formulate and implement compliance policies and procedures governing the business' compliance program

- Responsibility for all regulatory (SEBI, SARB), statutory (MCA), and internal reporting

- Responsibility of all statutory compliances, reporting, including audit and taxation

- Manage the KYC/AML function

- Secretarial function: Agenda preparation, convening of Board meetings, pack/minutes/action list distribution

- Responsible for establishing and setting the tone of compliance throughout the organization

- Recommend the initiation of investigative procedures in response to alleged violations of rules, regulations, policies, procedures, and the Code of Conduct

- Govern the responsibility to report misconduct and noncompliance, the path for reporting, and protection from retaliation

- Circulate the instances of compliance failures among staff along with preventive instructions

- Preparing and presenting clear and concise compliance reports to the committee and board

- The compliance function should monitor and test compliance by performing sufficient and representative compliance testing and the results of such compliance testing should be reported to the management

- Interacting with regulators on compliance issues.


Women-friendly workplace:

Maternity and Paternity Benefits

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