Job Details


Experience: 6 - 7 Years | Salary: Not Disclosed by Recruiter | Opening(s): 1 | Posted Date : 2017-12-06
Hiring For A Reputed Client of GlobalHunt
Job Description

FUNCTIONAL KNOWLEDGE AND SKILLS

  • Knowledge of operational risk elements

  • Knowledge of regulatory guidelines in SFB context

  • Knowledge of banking/branch operations

BEHAVIOURAL COMPETENCIES

  • Planning and organization of work

  • Attention to details

  • Interpersonal communication and Presentation skills

  • Customer orientation

  • Analytical skills & critical thinking

Desired Profile

Business

  • Ensure that all operational, statutoryandregulatory guidelines and checklists are disseminated to Chief Operating Officer, Cluster operations managersand ACRMs

  • Drive initial and ongoing dissemination of Operational risk and Compliance obligations to Regional branch staff across sales,service and operations through training and handholding support

  • Jointly with national ORM team, develop performance matrix with KRIs for monitoring branch performance on Operational risk and process compliance metrics; based on field insights suggest updates to performance matrix

  • Support the branches in completion of Risk Control andSelf-Assessment (RCSA)

  • Conduct timely follow-up, documentation and status of action plans, open issues identified during OR assessments at respective branches.

  • Maintain a database of branch wise deviations in terms of non-adherence to standard processes, perform root cause analysis of major deviations from and recommend changes in process design to address the same

  • Escalate to Regional Operations Managers on the level of operational compliance and failures, if any, so that prompt/corrective action is taken

  • Conduct mystery shopping/checks of regional operations processing; report control deficiency to Head-Operations/Regional Operations Manager

  • Co-ordinate compliance risk review activities to be performed by the branches within each region

  • Collect loss data and KRI data from regional ORM team and consolidate it for reporting to the corporate ORM function

  • Coordinate collection, recording and data capture of loss events and near miss together with verification within the businesses and regular reporting of these events, the details, and amounts as per the provisions laid down in the Loss Data Management Manual.

  • Maintain an MIS of all the branches with findings on compliance issues; provide consolidated compliance review findings to the Regulatory Advisory Compliance Manager

  • Appraise the regional business & functional heads the level of compliance and failures, if any, so that prompt/corrective action is taken

  • Assist the regional business & functional heads in submission of monthly Compliance Certificate in the prescribed format

  • Conduct quarterly surprise visits at the Branch for checking implementation of the required changes in internal procedures as communicated by Functional Departments

  • Submit the report on breaches/non-compliances immediately to the Head of Compliance through the Regulatory Advisory Compliance Manager

  • Report to Regulatory Advisory Compliance Manager any pending actions/corrective actions for the compliance review findings.

Customer

  • Ensure the queries raised by branches and regional office on operation risk and compliance is addressed as per requirements

Internal Process

  • Ensure all the escalations, reporting to the corporate office on compliance and ORM elements are done in a timely manner

  • Provide with all the necessary reports/information for the purpose of submitting to the regulator in a timely manner

Learning & Performance

  • With corporate ORM & compliance team, organise and conduct appropriate trainings/workshops pertaining to Operational Risk and Compliance at the Regional Offices and branches

  • Ensure adherence to training man-days/ mandatory training programs for self.

  • With corporate ORM & compliance team, organise and conduct appropriate trainings/workshops pertaining to Operational Risk and Compliance at the Regional Offices and branches

  • Ensure adherence to training man-days/ mandatory training programs for self.

Ensure goal-setting, midyear –review and annual appraisal process happens within specified timelines for self

  • With corporate ORM & compliance team, organise and conduct appropriate trainings/workshops pertaining to Operational Risk and Compliance at the Regional Offices and branches
  • Ensure adherence to training man-days/ mandatory training programs for self.
Industries TypeBanking / Financial Services / Broking
Role Regional Compliance and Operations Risk Manager
Skills Operations Management Operational Risk Management Cluster Operations Risk Compliance Rcsa
Functional Area Financial Services, Banking, Investments, Insurance
Education Graduate with MBA or any other PG
Location Bangalore
Keywords Operations Management Operational Risk Management Cluster Operations Risk Compliance Rcsa
Contact HR
Telephone 91-11-46547700
Email jobs@globalhunt.in
Reference id GH/BFSI/ Regional Compliance and Operations Risk Manager/ JC//27102017//71704