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Client Manager at ABC Consultants
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DVP/VP - Compliance Risk Assessment - Bank (15-21 yrs)
DVP/VP - Compliance Risk Assessment (Renowned Bank)
Job Description :
- Managing compliance risk assessment framework in accordance to regulatory guidelines
- Conducting assessment of the compliance risk and develop a risk-oriented activity plan for compliance assessment
- Carrying out testing, monitoring, studies, transaction based analysis, returns monitoring, onsite reviews, off-site reviews and any other activity relating to risk assessment.
- Review and assessment of processes and SOPs from compliance risk perspective
- Reporting to the CCO the outcome of assessment and compliance risk level in various businesses and operations
- Maintaining a dash-board of bank-level compliance risk with water fall till activity level
- Preparation and submission to CCO the monthly, quarterly, half-yearly and annual reports on compliance risk
- Coordination with Operational Risk and Internal Audit departments and business compliance officers to ensure holistic assessment of compliance risk
- Ensuring rectification of gaps identified in the assessment and submit compliance report to the CCO
- Preparation of annual report on compliance risk assessment covering the Bank and its subsidiary
Desired Behavioral / Functional Traits :
- Strategic Leadership, Stakeholder Management and Advisory expertise.
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