Regulatory Reporting Officer - Compliance & Processes

Job title: Regulatory Reporting Officer - Compliance & Processes

Grade: VP

Location: Mumbai

Goal KPI

Regulatory Compliance & Audit:

• Ensure timely query resolution and submission of RBI and SEBI enquiries, external concurrent audits, operational risk team RCSA, and internal audits.
• Regular monitoring of all regulatory sites such as AMFI, SEBI, and RBI portals for prompt implementation of circulars related to investments.

Agreement Tie-ups:

• Facilitate timely signing of agreements with product providers.
• Collaborate with legal and relevant stakeholders to obtain PPAC and Board approvals.

Process Designing & Improvement:

• Develop new processes and identify improvement areas in existing workflows.
• Ensure all processes comply with regulations and board-approved policies.
• Launch process notes within defined turnaround time (TAT).

Client & Service Queries:

• Efficiently handle and resolve client queries, particularly related to AT1 Bonds.
• Manage SGB regulatory mailers and remediation activities.
• Provide daily reporting to RBI with updated PAN, email ID, and bank account details of SGB investors.

Maintenance of Records:

• Collect required data from all stakeholders, including OSD/BDTS, to meet SEBI/RBI/AMFI data maintenance requirements.
• Ensure the maintenance of requisite data points with OSD as per regulatory guidelines.

Regulatory Campaigns:

• Manage regulatory digital and customer communication campaigns.