Posted By
Posted in
Banking & Finance
Job Code
1405913
Hiring for a renowned private bank
Objective:
The incumbent would be primarily responsible for conducting Compliance reviews of Bank's functions and new products to give reasonable assurance to the Management regarding compliance with regulatory norms.
Responsibilities:
- Preparation of Compliance Review plan to be put up to the Board.
- Preparation and updating of Compliance review checklists in line with the regulatory guidelines/internal policies.
- Managing the Compliance Review team to ensure that the compliance reviews are completed as per the Compliance review plan.
- Undertaking field work and ensuring that the review is completed within the prescribed timelines.
- Preparation of Draft Compliance Review report and discuss the same with the relevant stakeholders.
- Obtain the responses from the stakeholders and preparation of Final Compliance Review Report.
- Ensure proper documentation and working papers are maintained for all the compliance reviews conducted.
- Preparation of Open Issue tracker for Compliance Review Reports issued.
- Follow up with the management towards closure of compliance review open issues.
Shruthi Acharya
Skillventory
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Posted By
Posted in
Banking & Finance
Job Code
1405913