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Function Description:
The Director, Compliance will report directly into the Chief Compliance Officer for American Express Banking Corp. and will work with Regulators, External Advisors, Compliance teams in India and internationally as well as business teams across the Bank and its affiliates.
Responsibilities:
Relationship Management with RBI and the industry
Build strong relationships with various RBI departments (DOS, DPSS, DOR, CSITE and others) at levels of CGM and below to understand RBI expectations of AEBC India and provide guidance to internal stakeholders
Participate in and representing the views of AEBC India in regulatory and industry forums, councils and associations
Build relationships with Compliance officers of other banks in India, local and foreign, to help benchmark AEBC's compliance strategy
Leverage RBI and industry knowledge to provide guidance to AEBC India regarding its proposals, communications to be sent to the regulators
Coordinate RBI audits / exams to ensure the exam is well managed and any regulatory findings are closed to the RBI's satisfaction
Regulatory Change Management
Analyze impacts of proposed regulation to AEBC based on knowledge of RBI's regulatory expectations. Provide input to AEBC's responses in the form of proposals or position papers.
Provide guidance to internal stakeholders on interpretation of regulations and guidelines issued by various regulators
Provide guidance and support to business team in development of controls for new product/service projects
Regulatory Risk Assessment
Leveraging external information to identify key regulatory risks for AEBC India based on the status of its internal control environment
Governance
Participating in governance and risk committee meetings to inform them of the Compliance Risks facing AEBC
Provide compliance perspective on AEBCs policies and procedures
Contribute to Compliance Assessment of quarterly and annual Control & Compliance Rating of AEBC
Purpose of the role:
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