Compliance Officer Advisory

Yes Bank Ltd.; Mumbai; Sur place; INR 2 500 000 - 4 200 000; Plein temps

Résumé du poste

Yes Bank Ltd. is seeking a regulatory compliance professional with 5–10 years post‑qualification experience in credit regulations (wholesale/retail) and RBI compliances. The role focuses on guiding business units, reviewing product/process notes, and ensuring timely dissemination of regulatory updates.

Candidate should have strong communication and advisory skills, with prior exposure to compliance in banking. Role involves interaction with senior management and RBI authorities.

Qualifications

• 5-10 years post-qualification experience.
• Hands on with Credit regulations (Wholesale/ Retail) and compliances thereunder.
• Excellent communication skills and advisory capabilities.

Responsabilités

• Guidance and advisory to business units on RBI Credit regulations/guidelines.
• Review product and process notes for regulatory compliance.
• Disseminate regulatory guidelines to stakeholders within timelines.
• Coordinate with RBI for clarifications and follow up on action points.
• Prepare compliance agenda notes and monthly reports for CS/ Board.
• Interact with senior management across units for risk and control responsibilities.

Connaissances

Communication skills

Credit regulations

Formation

CA/CS/CMA/LLB

Description du poste

Role holder should have 5-10 years of post-qualification experience with very good communication skills, hands on with Credit regulations (Wholesale/ Retail) and compliances thereunder.

SECTION III: KEY RESPONSIBILITIES/ ACCOUNTABILITIES

Strategic/ Managerial Responsibilities Guiding Business Units on Regulatory Compliance for transactions handled by the Bank covering Credit regulations.

Core Responsibilities

Guidance & Advisory

• Provides guidance and support to business teams on their queries pertaining to Credit (Wholesale and Retail) regulations/guidelines issued by RBI
• Liaising with RBI for seeking clarification

Product & Process Note Review

• Review of Product and Process note to ensure that product/ process notes are compliant from regulatory perspective.
• Ensures that compliance comments are communicated and discussed with the product owner post internal discussions.

Circular Tracker Implementation

• Ensure that regulatory guidelines are disseminated within prescribed timelines
• Identification, review of action point and dissemination to stakeholders
• Follow up with stakeholder to ensure that regulatory guidelines are implemented by the relevant unit(s).
• Testing of compliance submitted by stakeholder before closure of circular action points
• Training Devise online training module , periodic updation etc

Audit Committee / Board Submission

• Ensure preparation and submission of quarterly compliance agenda notes to CS team
• Preparation of Monthly Report on Compliance Activities

People Management or Self-Management Responsibilities Need to interaction with Business Unit / Product Team / Operation Unit

• Need to interact with the middle/senior management of Business Unit/ Product Team/ Operation Unit

Risk and Internal Control Responsibilities

SECTION IV: KEY INTERACTIONS

Key Internal Interactions Purpose of Interaction

Business Unit / Product Team and Central Compliance Team For Guidance and support to Business Teams / Product Team / Operation team on their queries pertaining to Credit regulations/guidelines issued by RBI.

Key External Interactions Purpose of Interaction

Interaction with RBI for seeking clarification / guidance

SECTION V: KNOWLEDGE & EXPERIENCE

KNOWLEDGE Minimum Qualifications CA/CS/CMA/LLB

Professional Certifications CA/CS/CMA/LLB

Language Skills English

Experience

Years of Experience 5-10 Years

Nature of Experience Preferably have worked in Credit (Wholesale/ Retail) advisory in a Bank (Compliance department or Business Compliance)