Interested candidates should be CAs / CSs / MBAs with 3 - 5 years of experience in Compliance having thorough knowledge of NBFC functioning, Regulatory provisions for PMS and market practice.
• To handle Regulatory Compliance Monitoring of Wealth Management activities.
• To Monitor Compliance of NBFC and Group Companies’ compliance matter.
• To follow up with Departments/Business Lines for implementation of Regulatory Guidelines and Internal Instructions Issued by Compliance Department.
• To maintain back up for Compliance activities relating to Corporate Finance, Bank’s Treasury functions, Money Market & Government Securities & Assets Liabilities Management (ALM) activities.
• To handle regulatory compliance in the area of Indian Debt and Capital market activity, Portfolio Management Service.
• To monitor adherence to Local Regulations and Group or Regional guidelines.
• To ensure Regulatory Compliance of NBFC and those of Group Companies.
• To Interpret of circulars, instructions from RBI, SEBI etc. on Indian Debt & Capital Market, PMS and advising Business/Marketing lines on Regulatory matter.
• To do liaisoning with the Regulatory Authorities, Self Regulated Organizations, Counterparties to resolve compliance issues, etc.
• To monitor overall compliance activities of NBFC and of Group Companies.
CS
3 Years
As per industry standard
CAclubindia
