SMBC - Assistant Manager/Manager - Compliance

Responsible for handling all the compliance & KYC/AML related function of the branch and assist/ support for overall Legal & Compliance function in the branch which includes :

- Strict observance of all statutory provisions contained in various legislation's as well as observance of the other internal / HO guidelines issued from time to time.

- Act as a focal point for receipt and dissemination of all regulatory and internal guidelines / instructions among all operational departments.

- Conduct various training to educate the branch

- Keep a track and strict monitoring of all correspondences with the regulator and ensure that responses to regulatory authorities are properly submitted within the stipulated period of time.

- Preparation of compliance risk assessment & compliance action plan.

- Conduct compliance self-review compliance testing in line with the compliance risk assessment and action plan.

- Handle legal queries from branch and provide legal views on the interpretation of operational issues/ regulatory issues.

- Advising on the ISDA schedule and forward contracts, BG, Indemnity, BR's etc..

- Drafting and standardizing the loan documents/ agreements for the branch.

- Coordination for annual financial inspection / risk based supervision process and submission of branch response to regulator.

- Regular review of policy and procedures to ensure that same is updated and amended as and when there is changes in regulations / guidelines

- Any other responsibility assigned by the head of department.