Compliance Advisory- Third Party Products

Role & responsibilities

• Handling Compliance with above mentioned regulations pertaining to Mutual Fund & Insurance Distribution 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 new processes and handling correspondences with the regulators on Compliance related matters. 
• Handling Onsite Regulatory Inspections of SEBI, IRDA 
• 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, IRDA.  
• Need to interact with the middle management and senior management of the Bank.