FINO Payments Bank - Manager - Regulatory Compliance

1. To handle day to day regulatory Compliance of RBI, PMLA,UIDAI, NPCI, CKYC etc viz which includes

2. Number of years of experience in regulatory compliance (excluding CS/AML/Audit) in banking: 2-7 years in reg compliance

3. Roles handled as a compliance officer: (testing, RBS, Operations (handling of correspondences, circular dissemination), reg compliance evaluations, CCO advisory

(a) dissemination of guidelines to the respective stake holders, updation of tracker, follow up and closure on compliance to guidelines

(b) timely dissemination of various correspondences to stakeholders and submission of response to the regulator post quality and sanctity check

(c) Updation of status of compliance to the various executive & board led committees

(d) handling of compliance testing from end to end like planning, conduct of testing, establishing testing results and follow up on compliance to the observations

(e) handling RBS for the Bank from end to end

To handle cross functional matters such as:

(a) evaluating product proposal from compliance perspective

(b) evaluating agreements with vendors/business partners in reference to compliance parameters

(c) handle internal audit of the department

(d) timely closure of report

(e) coordinating with departments w.r.t RBS audit, dissemination of observations, compliance to the observations and timely response

(e) coordinating with departments w.r.t RBS audit, dissemination of observations, compliance to the observations and timely response

Dashboard management:

(a) tracking of action taken report emanating from various Board, Board led & Management committee

(b) pending actionable w.r.t compliance to guidelines

(c) pending line times for compliance to testing observations

(a) To prepare presentations and notes for various Board, Board led and Management committee for compliance department and also to the functions under the CCO

(b) check whether the draft minutes and final minutes of management committee meeting are in line with the discussion during the meeting

(c ) coordinate with CS team for timely submission of notes, presentation and finalization of minutes along with ATR if any

1. Quick learner

2. Deep diving on proposals

3. Broad approach on group compliance

- Business Enabler

- Cross functional coordination: CS, CAIIB, CA, ICWA, LLB, MBA

- 2- 7 years of experience in regulatory compliance (excluding CS/AML/Audit) in banking domain must.