Senior Compliance Manager-Retail Assets
- Mumbai, Maharashtra
- Permanent
- Full-time
- Oversee all business operations relating to compliance including policies, investments, and procedures.
- Design and monitor control systems to deal with violations of legal rules and internal policies.
- Regularly assess the efficiency of control systems and recommend effective improvements.
- Review and evaluate bank's procedures and reports to identify hidden risks or common issues.
- Perform periodic audits on company procedures and processes, maintain and organize compliance records.
- Draft compliance checklists, manuals, and other regulatory documentation
- Coordinating with different departments leads to review all departmental compliance policies.
- Liaise with the senior management to ensure proper implementation of compliance policies.
- Act as a confidential point of contact for employees to seek clarification on compliance issues, or report irregularities.
- Initiates investigations, when possible, non-compliance takes place within the bank.
- Facilitate employee training sessions on legal and compliance issues.
- Supervise compliance officers and team, share best practices.
- Leverage in-house synergies through collaboration with internal stakeholders.
- Keep abreast of regulatory developments within or outside of the bank as well as evolving best practices in compliance control.
- Create an environment that promotes collaborative learning and collective ownership of responsibilities.