Designation - Compliance Associate - Global Banking
Location - Mumbai
Experience - 5 to 10 years
Industry: Financial Services (MNC)
Key Responsibilities:
- Assist in the implementation and maintenance of the company's compliance framework, policies, and procedures, ensuring they align with sectorial regulations and firmwide requirements.
- Stay up-to-date with changes in regulatory requirements and industry best practices in India, advising relevant teams on their impact.
- Provide guidance and training to employees on compliance-related matters, including new policies and regulatory updates.
- Collaborate with various departments, such as Business, legal, operations, and IT, to ensure compliance is integrated into business processes.
- Assist in managing and responding to regulatory inquiries and inspections.
- Maintain accurate and organized compliance documentation and records.
- Assist in the preparation and submission of accurate and timely regulatory reports to relevant authorities and internal stakeholders.
- Support and coordinate the preparation for internal, statutory, and external audits, including gathering required documentation and responding to audit queries.
Qualifications:
- 5+ years of professional experience at a financial institution in India dealing with SEBI, BSE, NSE or RBI and other local regulators on compliance matters.
- Bachelor's degree in Finance, Law, Business Administration, or a related field.
- Experience in implementing and maintaining compliance programs, including drafting, amending, designing and implementing appropriate policies, procedures, training and controls.
- Experience in conducting internal investigations and guiding / advising on internal conduct issues.
- Knowledge of SEBI rules and regulations and experience in responding to inquiries from and managing investigations by SEBI and other local regulators.
If keen & your experience is as per the JD , You can also share your CV at [Confidential Information]
