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11/06 Meenakshi Sagar
Assistant Manager at Recruitment Cell

Views:170 Applications:42 Rec. Actions:Recruiter Actions:4

Manager - Regulatory Compliance - Big4 (8-15 yrs)

Mumbai Job Code: 936574

Manager- Regulatory Compliance

Regulatory Compliance


- Development of compliance-related policies and procedures

- Development of Compliance Risk Assessment Framework

- Developed compliance indicators for monitoring of key compliance requirements

- Preparation of Compliance testing plan and performing compliance reviews

- Preparation of Compliance dashboards and reporting

- Compliance Advisory on specific banking divisions or products.

- Conduct Risk
Skills / Experience:
- Creation and maintenance of conduct risk management framework, and where necessary enhance the procedures and systems relating to the management of conduct risk to ensure that the Board's risk appetite and all regulatory requirements are met.

- Communication of the conduct framework requirements, policies and procedures through reporting and delivering appropriate training for relevant business teams.

- Maintenance the conduct risk assessment methodology, perform assessments, conduct related due diligence and identify and implement appropriate controls to mitigate risks identified.

- Preparation and implementation of Board's risk appetite relating to Conduct Risk is implemented throughout the business.

- Maintenance and enhancement, where necessary, of the Conduct Risk Framework, considering any emerging conduct risks and regulation.

- Provide advice and training to the business in respect of conduct risk issues.

- Oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects.

- Ensure appropriate conduct risk management information (MI) is made available to the relevant governance bodies within the business on a timely basis.

- Analyse conduct risk MI and undertake root cause analysis in respect of complaints.

- Circulate market updates and guidance in relation to conduct risk matters, as necessary, liaising with the Compliance Officer/Compliance team to provide a unified response to the business in respect of regulatory requirements relating to consumer and high conduct risk business / codes of best practice and regulatory developments.

- Oversee complaints handling and management

- Prepare reporting packs for Senior Management and Board for Conduct Risk.

Women-friendly workplace:

Maternity and Paternity Benefits

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