10 or More than 10 years 
Bengaluru, JayanagarJob Description / Responsibilities
- Establish, implement and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
- Oversee the Front Line’s execution and challenges appropriately on compliance related decisions
- Support the oversight or monitoring of a risk-based compliance program
- Provide support in developing and overseeing standards with some business and functional knowledge
- Provide compliance risk insight and support projects and initiatives with low to moderate risk for a business line or functional area
- Work with a business unit, a defined set of rules and regulations on low to moderate risk compliance matters
- Support the reporting, escalation, and timely remediation of issues, deficiencies or regulatory matters regarding compliance risk management
- Provide support in reporting findings and drafting recommendations to management
- Support and implement initiatives with low to moderate risk
- Interact with team to support risk oversight and monitoring
- Manage and ensure accuracy of data
- Troubleshoot system issues to determine root cause
- Research and implement new regulatory rules and manage other Registration Team related projects
- Identify and recommend opportunities for process improvement and risk control development
- Establish and maintain effective relationships with various teams
- Make decisions and resolve issues to meet business objectives
- Interpret policies, procedures, and compliance requirements
- Collaborate and consult with peers, colleagues and managers to resolve issues and achieve goals
- Interact with internal customers
- Receive direction from leaders and exercise independent judgment while developing the knowledge to understand function, policies, procedures, and compliance requirements
Desired profile of the candidate
- Ensure Regulatory inventory related to laws, rules and regulations is maintained in the system of record as per the procedures
- Perform quality checks on the work performed by the team
- Manage regulatory inventory management team
- Engage with Quality Assurance, Vendor partners, Legal and Compliance teams to discuss key process updates and clarify questions
- Coach and train junior resources in the team
- Monitor process KPIs, metrics and support in timely execution of the deliverables as per the agreed quality standards and procedures
- Drive process efficiencies
- Keep the process procedures up to date
Qualification
- B.Com, MBA or M.Com with 10 plus years of overall experience in Banking and Financial Services, of which 4 plus years of experience in risk management (includes compliance, regulatory change management, financial crimes, operational risk, audit, legal, credit risk, market risk, IT systems security, business process management)
- 3 Plus years of People Manager/Leadership experience
- Experience in Compliance, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
Technical / Professional
- Law degree, Companies Secretary
- Expertise in leading processes related to technology data entry
- Project management skills
- Ability to receive and provide directions to the team on using the SHRP Governance Management system (Archer platform)
- Coaching and training skills
- Excellent verbal and written communication skills
- Ability to articulate complex concepts in a clear manner
- Advanced Microsoft Office skills
- Good eye for detail and accuracy
- Execution oriented, professional demeanor, self-starter behavior and able to recognize opportunities for improvement in the business and to act on those opportunities
- Working knowledge on SharePoint would be an added advantage
