Compliance Manager
Published date: 2024/01/10
- Location: Mumbai,, Maharashtra, India
Urgent requirement for Asst Vice President Compliance & Audit ( Corporate Banking) for a Leading Bank in India (A client of River Forest Connections Inc.)
Job Location - Mumbai
Job Purpose
Lead the Compliance segment for Corporate Banking. Track the Compliance parameters and propose ways to keep it in control by liaising with different stake holders of the bank. Create prosses to smoothen the ways to taken the pendency of the compliance parameters
Roles & Responsibilities
Monitor Corporate Banking Group ( CBG) Compliance items like CAM Overdue, Deferrals, Re-KYC, Beneficial ownership, Intraday-Monitoring, IDPMS, EDPMS, High Value transactions.
Responsible for updating the Top management on Compliance parameters
Prepare Weekly Compliance & Control Report
Providing data for quarterly Audit data for Corporate banking group to
the Audit team.
Analyzing & providing data to the ORM team for their quarterly Auditing
and deriving the risk factor for the same.
Coordinating with CBG RMs for the Compliance & Audit requirement
Liaise with different stake holders of the bank for the Compliance
parameters on regular basis
Advise the Relationship manager on the legal requirements
Be responsible for Compliance Pending item clearance for CBG
Set up process note for Compliance Item clearance
Identify customer, process, risk and business impact due to Compliance
parameters
Responsible for reimagining the existing Compliance process in CBG
Keep the CBG Group updated with the new Compliance policies of the
bank with proper process note and sessions if required
Promptly address any process gaps and change in priorities
Monitor development projects and ensure achievement of commitments
on time
End to end ownership of the Corporate banking Compliance & Legal
requirement
Candidate Profile
Postgraduates / MBA's / CA's with minimum 3 years + experience in Compliance & Audit of Corporate / Wholesale Banking with a Large Bank.
Knowledge of Compliance background
Should have experience in RBI Audit & Internal Audit
Strategic and analytical thinking
Excellent inter personal, presentation and communication skills
Knowledge of Wholesale Banking
Ability to use data and analytics to drive objectives
Experience in working with cross functional teams
Job Location - Mumbai
Job Purpose
Lead the Compliance segment for Corporate Banking. Track the Compliance parameters and propose ways to keep it in control by liaising with different stake holders of the bank. Create prosses to smoothen the ways to taken the pendency of the compliance parameters
Roles & Responsibilities
Monitor Corporate Banking Group ( CBG) Compliance items like CAM Overdue, Deferrals, Re-KYC, Beneficial ownership, Intraday-Monitoring, IDPMS, EDPMS, High Value transactions.
Responsible for updating the Top management on Compliance parameters
Prepare Weekly Compliance & Control Report
Providing data for quarterly Audit data for Corporate banking group to
the Audit team.
Analyzing & providing data to the ORM team for their quarterly Auditing
and deriving the risk factor for the same.
Coordinating with CBG RMs for the Compliance & Audit requirement
Liaise with different stake holders of the bank for the Compliance
parameters on regular basis
Advise the Relationship manager on the legal requirements
Be responsible for Compliance Pending item clearance for CBG
Set up process note for Compliance Item clearance
Identify customer, process, risk and business impact due to Compliance
parameters
Responsible for reimagining the existing Compliance process in CBG
Keep the CBG Group updated with the new Compliance policies of the
bank with proper process note and sessions if required
Promptly address any process gaps and change in priorities
Monitor development projects and ensure achievement of commitments
on time
End to end ownership of the Corporate banking Compliance & Legal
requirement
Candidate Profile
Postgraduates / MBA's / CA's with minimum 3 years + experience in Compliance & Audit of Corporate / Wholesale Banking with a Large Bank.
Knowledge of Compliance background
Should have experience in RBI Audit & Internal Audit
Strategic and analytical thinking
Excellent inter personal, presentation and communication skills
Knowledge of Wholesale Banking
Ability to use data and analytics to drive objectives
Experience in working with cross functional teams
0 page views
Related listings
-
Application Support AnalystBankJob Title Application Support Analyst Location: Pune About Barclays Barclays is a British universal bank. We are diversified by business, by different types of customers and clients, and by geography. Our businesses include consumer banking and payme...2026/11/10
-
UX/UI Design Intern (pan bank)BankDesign Intern (pan bank) The Kotak Design Studio is hiring Design Interns to join its team and work across the gamut of Kotak products–from the Kotak Mobile App and Kotak Netbanking, to the newly launched Kotak Cherry. This is a good opportunity for ...2026/11/10
-
Wealth Relationship ManagerBankRequirement – Wealth Relationship Manager B2C Profile Not from Banking, Agency Channel or B2B Channel Pure Acquisition role Pune location Its an Individual role Min. relevant experience is 3+ years Selling of Mutual Funds and PMS products Check Portf...2026/11/10