SECTION I: BASIC INFORMATION

Job Code

Cost Center

Job Title

Regulatory Compliance Para Banking Activities

Functional Title

AVP

Grade

Management Band

Business Unit

Division

Department

Compliance

Location

Mumbai

Reporting to

No. of Direct Reports

SECTION II: ROLE SUMMARY The role holder will be responsible for handling Regulatory Compliance in respect of Custodian, Depository Participant, Designated Depository Participant, Merchant Banking, Pension Fund business of the Bank.

SECTION III: KEY RESPONSIBILITIES/ ACCOUNTABILITIES

Strategic/ Managerial Responsibilities

Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc.

Core Responsibilities

Handling Compliance with above mentioned regulations pertaining to business of Custodian, DP, DDP, Pension Fund, Merchant Banking Business of the Bank.

Circulating action points arising out of regulatory circulars/notifications/communications and pro-active follow up with the stakeholders ensuring timely implementation of the same.

Reviewing existing and recent processes and handling correspondences with the regulators on Compliance related matters.

Handling Onsite Regulatory Inspections of SEBI, PFRDA, NSDL, CDSL, NSE, BSE, etc

Providing clarifications on queries raised by stakeholders within the Bank and from Group entities on Compliance related matters.

Drafting and vetting of various submissions to be made to the ACB/Board.





Submission of various regulatory reports from time to time.

People Management or Self-Management Responsibilities

§ Need to interaction with various regulatory authorities viz. SEBI, PFRDA, NSDL, CDSL, NSE, BSE, etc.

§ Need to interact with the middle management and senior management of the Bank.

Risk and Internal Control Responsibilities

§

SECTION V: KNOWLEDGE & EXPERIENCE

KNOWLEDGE

Minimum Qualifications

§ CA/CS

Language Skills

§ English

EXPERIENCE

Years of Experience

§ 8-10 Years[AC(1]

Nature of

Experience

§ Preferably have worked in Compliance / Product / Operations function of Banks & handled the Para Banking compliance

SECTION VI: COMPETENCIES & KEY PERFORMANCE INDICATORS

BEHAVIORAL COMPETENCIES

Core Competencies

Competency Name

Behaviors

§ Capability to interpret regulations

§ Patience

§ Hardworking

§ Persuasive Skills

§ Good Communication Skills

§ Problem Solving Skills

§ Adherence to timelines

§

§

§

TECHNICAL COMPETENCIES

Technical Competencies

§ Sound knowledge of SEBI / NSDL / CDSL / NSE / BSE/PFRDA guidelines on DP, DDP, Custodian, Merchant Banking, Pension Fund activities

[AC(1]Pls check this – for AVP / SM the experience of 8-10 years is required? Max we can go upto VP role – so the lower side experience should be minimum required for AVP while higher side should be the maximum required for VP role.

📌 Para Banking Advisory- VP - Compliance (Mumbai)
🏢 Yes Bank
📍 Mumbai