Compliance FM Advisory - Treasury Audit

Role & responsibilities

Articleship exposure in Treasury, Forex, Derivatives, Financial Markets, Banking Operations, Compliance, Internal Audit, Regulatory Compliance or Risk Management will be preferred.

Education

Job Description

The Compliance Officer Financial Markets Advisory will support the Compliance function by providing regulatory guidance on products, processes and transaction structures pertaining to Treasury, Financial Markets, Forex, Derivatives and Primary Dealer (PD) Operations. The role involves ensuring adherence to RBI regulations, regulatory reporting, policy implementation and coordination with internal stakeholders.

Key Responsibilities

• Assist in providing regulatory guidance on various products, processes and transaction structures relating to Treasury, Forex, Derivatives and Financial Markets.
• Support interpretation and implementation of RBI guidelines, circulars and regulatory requirements.
• Assist in reviewing treasury products, transaction structures and business proposals from a regulatory compliance perspective.
• Support implementation of new regulatory guidelines within prescribed timelines.
• Coordinate with Treasury, Financial Markets, Operations and other business teams to ensure regulatory compliance.
• Prepare and maintain compliance MIS, dashboards and regulatory reports.
• Assist in preparation of compliance notes for senior management, Board and Board-level Committees.
• Support regulatory inspections and provide information/documentation required during RBI inspections.
• Coordinate with internal stakeholders for closure of regulatory observations.
• Track compliance with internal policies and regulatory requirements.
• Assist in drafting, reviewing and updating compliance policies, procedures and operating guidelines.
• Maintain documentation related to regulatory communications and compliance records.
• Work closely with stakeholders to ensure timely completion of compliance-related action items.

Preferred candidate profile

Qualified CA (First Attempt and Second Attempt)

Articleship experience in Banking, Treasury, Forex, Financial Markets, Derivatives, Internal Audit, Statutory Audit or Regulatory Compliance preferred.