Posted By
Posted in
Banking & Finance
Job Code
1468665
The role holder is responsible for Conducting Compliance reviews and testing of Bank's functions and new products to give reasonable assurance to the Management regarding compliance with regulatory norms
- Conducting Compliance reviews and testing of Bank's functions, processes and new products to give reasonable assurance to the Management regarding compliance with regulatory norms.
- Preparation of Compliance Review plan to be put up to the Board.
- Preparation and updating of Compliance review checklists in line with the regulatory guidelines/internal policies.
- Undertaking field work and ensuring that the review is completed within the prescribed timelines.
- Preparation of Draft Compliance Review report and discuss the same with the relevant stakeholders.
- Obtain the responses from the stakeholders and preparation of Final Compliance Review Report.
- Ensure proper documentation and working papers are maintained for all the compliance reviews conducted.
- Preparation of Open Issue tracker for Compliance Review Reports issued.
- Follow up with the management towards closure of compliance review open issues
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Posted By
Posted in
Banking & Finance
Job Code
1468665
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