Deepak Kumar Dwivedi
Assistant Vice President - Regulatory Compliance @Utkarsh Small Finance Bank
Signup · Get unlimited contacts
WORK HISTORY
Assistant Vice President - Regulatory Compliance @Utkarsh Small Finance Bank
Varanasi, IN
Job Roles & Responsibilities- Reporting to the Chief Compliance Officer (CCO) of the Bank- Apprise the Board and senior management on regulations, rules and standards and any further developments- Provide clarification on any compliance related issues to other units of the Bank- Conduct assessment of the compliance risk and to develop a risk-oriented activity plan for compliance assessment. The activity plan is submitted to the ACB for approval and be made available to the internal audit- Report promptly to the Board/ Audit Committee/ MD & CEO about any major changes / observations relating to the compliance risk- Periodically report on compliance failures/breaches to the Board/ACB and circulating to the concerned functional heads- Periodically test compliance by performing sufficient and representative compliance testing. The results of compliance testing is placed before the Board/Audit Committee/MD & CEO- Examine sustenance of compliance as an integral part of compliance testing and annual compliance assessment exercise- Ensure compliance of Supervisory observations made by RBI and/or any other directions in both letter and spirit in a time bound and sustainable manner- Demonstrating abilities in Circular Management, issued by RBI, SEBI, IRDA, AMFI, UIDAI, NPCI, IT etc. and thorough reading, understanding and circulating the regulatory guidelines to the concerned implementing units within the Bank for early implementation of action paras emanating from the circulars and; tracking of these thereof- Demonstrating abilities in making KYC & AML Policy in accordance with RBI Policies- Demonstrating abilities in conducting Mystery Shopping across the branches/verticals and departments.
EDUCATION
collage of Commerce
12th, Business/Commerce, General
High School Amarpura
Bachelor's degree, Business/Commerce, General
Collage of Commerce
Bachelor of Commerce (BCom), Business/Commerce, General
10th from HS Amarpura, Patna
B. Com (Hons) from Magadh University, Bodh Gaya, Business/Commerce, General
HS Amarpura, Patna
10th, All Subject
ABOUT DEEPAK KUMAR DWIVEDI
Over 8 years in Regulatory Compliance, handling diverse and evolving responsibilities…
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.