3.0 - 6.0 years

3 - 7 Lacs

Mumbai, Maharashtra, India

On-site

Development of compliance related policies and procedures Development of Compliance Risk Assessment Framework Developed compliance indicators for monitoring of key compliance requirements Preparation of Compliance testing plan and performing compliance reviews Preparation of Compliance dashboards and reporting Compliance Advisory on specific banking divisions or products. Skills / Experience Creation and maintenance of conduct risk management framework, and where necessary enhance the procedures and systems relating to the management of conduct risk to ensure that the Boards risk appetite and all regulatory requirements are met. Communication of the conduct framework requirements, policies and procedures through reporting and delivering appropriate training for relevant business teams. Maintenance the conduct risk assessment methodology, perform assessments, conduct related due diligence and identify and implement appropriate controls to mitigate risks identified. Preparation and implementation of Boards risk appetite relating to Conduct Risk is implemented throughout the business. Maintenance and enhancement, where necessary, of the Conduct Risk Framework, considering any emerging conduct risks and regulation. Provide advice and training to the business in respect of conduct risk issues. Oversee and carry out conduct risk controls, monitor the business for conduct risk issues and support conduct risk projects. Ensure appropriate conduct risk management information (MI) is made available to the relevant governance bodies within the business on a timely basis. Analyse conduct risk MI and undertake root cause analysis in respect of complaints. Circulate market updates and guidance in relation to conduct risk matters, as necessary, liaising with the Compliance Officer/Compliance team to provide a unified response to the business in respect of regulatory requirements relating to consumer and high conduct risk business / codes of best practice and regulatory developments. Oversee complaints handling and management Prepare reporting packs for Senior Management and Board for Conduct Risk.

Posted 2 weeks ago

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Consultant / Senior Analyst Easebiz Fintech Solutions

1.0 - 3.0 years

5 - 7 Lacs

Ahmedabad

Work from Office

Role & responsibilities Ability to effectively perform the technical components of risk assessments to provide an accurate view of the clients current risk state Ability to perform end-to-end business process analyses and design Ability to gather, synthesize, and analyze data using appropriate tools and technologies Ability to assess and design internal controls by applying an understanding of internal control design frameworks and regulatory requirements Ability to understand the clients business, interpret sector trends, and learn leading practices Ability to effectively interact with colleagues and clients of varying backgrounds to effectively serve clients Ability to enhance quality and efficiency of recommended conduct risk solutions by applying relevant frameworks, conducting research, and performing analyses Ability to conduct internal audits by leveraging approved processes and methodologies Ability to set the stage for a successful assessment of clients internal audit processes and controls by collecting and organizing data Ability to enhance quality of assurance engagements by identifying risks, performing testing, researching governing regulations, and developing reports Preferred candidate profile Semi Qualified CA (0-2 years experience post completing articleship) MBA Finance (with 0 to 2 years experience) BBM / BBA / B. Com (with 2.5+ years of relevant experience) Experience in Advanced Analytics and ERP is preferred

Posted 1 month ago

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