Establishment of various Compliance policies, procedures and oversee its implementation and updation for SBICAP Products.
To identify and assess the compliance risks associated with business activities and advise the management on timely basis.
Reviewing of Investment Banking documents such as NDAs, offer letters, Issues Agreements and other agreements/documents relating public issues, rights issues etc. as may be requested by the Business.
Reviewing of Infra advisory business documents such as NDAs, offer letters, Agreements, RFPs etc. as may be requested by the Business.
Engaging with the Compliance and Risk officials at subsidiaries.
Periodical Compliance monitoring/reviewing of Susidiaries on Compliance Risk in line with the regulatory requirements and testing its implementation.
Assist in establishment of Systems and Controls and its review for SBICAP and its Subsidiaries.
Engaging with the capital markets regulators as may be necessary.
To ensure statutory compliance with SEBI and update business groups and management on regulatory amendments / notifications / updates etc and the implications of the same.
Periodical Compliance Risk Sensitisation and training to employees on Compliance aspects.
To identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
Essential
Position Objective / Responsibilities
Vetting of ECM Transaction documents relating to Issues
Vetting of EL and NDA for all departments
Collating and sending Monthly regulatory updates to SBI
Review and submission of Quarterly Compliance Certificate of Subsidiaries
Preparation of SEBI Half-yearly Report
Conducting Annual Compliance Test
Review and Updating of Policies of SBICAP and subsidiaries
Regularly updating Product Groups of new regulatory developments and the implications of the same.
