Compliance Advisory- Financial Market

Role & responsibilities

• Providing regulatory guidance on various business structures and transactions pertaining to the treasury and PD operations.
• Reviewing various product and process notes pertaining to the treasury and PD operations of the Bank from a regulatory point of view.
• Regularly interacting with the regulators to seek clarifications on guidelines or representing various business proposals for their approval.
• Ensuring that the action points from the latest regulations are shared with the concerned stakeholders and the same are implemented within regulatory prescribed deadlines or within suitable time in absence of any regulatory prescribed deadlines.
• Ensuring that accurate MIS are prepared and circulated to the Top Management on a timely basis.
• Ensuring that various compliance related notes are prepared and submitted to the Board / Board Level Committees on a timely basis either through placing it in the meeting or through circulation.

Skills Required

Risk Assessment, Financial Reporting, Compliance Audits, Legal Research, Stakeholder Engagement