Cafeteria

NovoTree Minds Consulting Reviews by Employees

About Compliance: The compliance department ensures that the financial institution complies with applicable laws, regulations and rules, and it plays an essential role in helping to preserve the integrity and reputation of the Bank. The job of compliance officer of the Bank entails monitoring and analyzing risk areas in a bank's operation to ensure observance of laws. About the Role: - Liaisoning & handling cases / enquiries/ summons coming from Legal Enforcement & Investigation Agencies (LEAs). - Smooth handling of cases investigated by External agencies by ensuring that requisite information is provided to them in a time bound manner. - Handling Correspondences from Regulators/Government institutions. - Managing Dissemination of Regulatory Circulars. - Monitoring of Regulatory return submission. - Monitoring of Policy reviews. - Managing HR matters pertaining to the departments including Learning & Development. - Facilitating Automation projects at department level. - Management of Governance activities. - Driving Compliance Culture. Key Responsibilities: - Liaisoning & handling cases / enquiries/ summons coming from Legal Enforcement & Investigation Agencies (LEAs) for smooth closure of cases under investigations to avoid any kind of misconception or miscommunication about our Bank. - Driving the Bank's Compliance Culture through communications, awareness programs like Banking on Compliance. - Monitoring and maintaining the repository of PMC/ CMCs - Managing the correspondences received from Regulators/ Govt. Institutions/ LEAs, coordinating with departments for submission of data / responses within TAT, tracking pending correspondences for closure, etc. - Keep oversight on other activities such as dissemination of regulatory circulars to departments, submission of regulatory returns by departments in time, Review of Policies by departments in time, placing agenda notes to Board / ACB / Board Committee, etc. - To ensure the team's morale is kept high and high standard of efficiency is maintained

Mumbai

Navi Mumbai

Compliance Role - BFSI 

Job Description for Compliance Role - BFSI  in NovoTree Minds Consulting Private Limited  in  Mumbai Navi Mumbai for (15-25) years of experience. Apply Now!