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| Department/ Circle | Compliance Department | Grade | ||
| Type of Vacancy | New | No. of Vacancies | 1 | |
| Job Title | Manager / AVP - SEBI Compliance | Reporting Authority | Group Head - SEBI Compliance | |
| Location | Mumbai | Date of Raising Request | 2-Jan-26 | |
| Brief background of the job | Providing assistance and ensuring compliance with respect to various rules, regulations and circulars, issued from time to time for the capital market related business undertaken by the Bank | |||
| Roles and responsibility | 1 To keep abreast of all applicable securities laws, regulations issued by vaious regulators from time to time, including other industry news. 2. To assist the Group Head - SEBI Compliancein discharge of compliance function with respect to SEBI related matters. 3. Analysing impact of Regulatory Circulars, notifications, regulations issued by SEBI or any other regulator and assess the compliance risk emanating if the circulars / guidelines are not implemented with the regulatroy timelines and where required, timely escalations to be done. 4. Ensuring continuous engagement with the Operations and CARO Teams of the relevant capital market businessess to help them discharge the regulatory obligations and where required, engage with regulators to seek clarificaitons on the various matters. 5. Tracking the implementation of regulatory obligations with the busienss and operations teams. 6. Assisting the Group Head - Compliance in compliance monitoring and testing requirements as and when required to be undertaken as part of Compliance Monitoring Plan for the Bank 7. Provide relevant inputs for preparation of presentations / dashboards to Senior Management and using technology effectively and efficiently 8. Assisting in various regulatory inspections by SEBI, Depositories, Exchanges and ensuring effective coordination between the regulators and business / operations team. Managing responses to regulatory inspections, reviews and enquiries, as well as audit. Ensuring of completion of actionables emanating from such inspection reports and closure of the same. 9. Partnering with other compliance colleagues as well as risk, legal, operations and technology and finance, as the role demands 10. Additional duties as may be assigned | |||
| Academic Qualifications Required | Bachelor's Degree with experience in compliance, internal audit or other control related functions in a financial services organisation strong working knowledge of capital markets and the related operations CA / CS / MBA / Law Degree | |||
| Professional Relevant Work Experience Required | - Capital markets experience and advanced knowledge - Awareness of regulatory requirements and industry standards - Ability to collaborate with various other functions | |||
| No. of Years of Relevant Work Experience | Minimum 10-15 years of relevant work experience | |||
| Pre - Screening Question - 1 | ||||
| Pre - Screening Question - 2 | ||||
| Pre - Screening Question - 3 |
Job ID: 139313045
