Compliance Officer Operations

YES BANK; Mumbai; On-site; INR 500,000 - 800,000; Full time

Job summary

YES BANK is seeking a compliance professional to manage regulatory communications and tracker systems in Mumbai. The role involves disseminating regulatory updates, tracking submissions, and preparing MIS for senior management under guidance.

The candidate should have a Bachelor's or Master's degree with prior compliance experience, strong regulatory knowledge in India (RBI focus), and excellent MS Excel/Word/PPT skills. Integrity and cross-functional collaboration are essential.

Qualifications

• Bachelor’s or Master’s degree in a relevant field.
• Previous experience in a similar compliance role.
• Strong knowledge of regulatory environment for banks in India, RBI focus.
• Excellent MS Excel & MS Word skills; proficient in PowerPoint.
• High integrity and compliance orientation.

Responsibilities

• Disseminate Regulatory communications to internal stakeholders and track responses.
• Maintain the Regcom Tracker and publish monthly MIS under supervisor guidance.
• Maintain repository of Regulatory communications and prepare inputs for audits/regulator queries.
• Contribute to Compliance projects and automation initiatives; operate as maker for data entry and portal submissions.
• Liaise with regulators and internal stakeholders; participate in departmental audits and address gaps identified.

Skills

Interpersonal skills

Research capabilities

Regulatory awareness

Integrity & compliance orientation

Education

Bachelor's/Master's Degree

Tools

MS Excel

MS Word

PowerPoint

Job description

Core Responsibilities

Regulatory Communication Tracker :

• Dissemination of Regulatory communication to internal stakeholders, follow up and track with respective stakeholders for response submission and submission of response to regulators.
• Maintaining the Regcom Tracker and publishing of monthly MIS under Supervisors guidance
• Maintain repository of Regulatory communications
• Preparing data inputs for Audit/ RBS queries/other stakeholder requests

Circular Tracker

• Undertakes dissemination of regulatory guidelines and subsequent tracking in the Circular Tracker.
• Undertakes preparation and circulation of monthly CIT MIS to Senior Management and relevant stakeholders

Regulatory Returns Tracker

• Creation, modification, discontinuation of returns basis regulatory guidelines and subsequent tracking in the Returns Tracker
• Undertakes preparation and circulation of fortnightly Regulatory Returns MIS to Senior Management and relevant stakeholders

Other Compliance Operations Activities

• Contribute to Compliance projects, automation initiatives and other similar activities.
• Operate as maker for data entry, uploading of submission, ID creations and reconciliation on Regulatory portals managed by Compliance Team.
• Liasoning interaction with regulators and quasi regulators as well as with internal stakeholders.
• Participate in the departmental audits and implement practices to bridge gaps identified during departmental audits.
• In depth knowledge of the regulatory environment for banks in India particularly with respect to RBI
• Good research capabilities and intelligent interpretation of regulatory guidelines.
• Demonstrated ability to drive results.
• Good interpersonal skills.
• Enhanced MS Excel and MS Word skills
• Bachelors/Masters Degree
• MS Office (Specially in MS Excel, MS Word and PPT)
• Previous experience in similar role/Compliance function.
• Impeccable integrity and compliance consciousness.