Specialist - Compliance Advisory - Bank

Specialist- Compliance Advisory

- Participating in the planning, executing and reporting of compliance assurance reviews, compliance and regulatory issue validation activities for a component of policy line & function

- Liasioning with Exchanges on everyday basis

- Managing Inspections carried out by Exchanges, Depositories and SEBI

- Managing internal audits of Depositories and Exchanges

- Submission of Enhanced supervision data and other Exchange reportings on a timely manner

- KYC Compliance and monitoring of compliance functions

- Preparation, submission, and uploading Annual return & Compliance to the exchanges.

- Timely updating Policies and procedures in line with Exchange guidelines

- Evaluating new regulatory guidelines and implementation

- Handling internal audits and implementation

- Preparation and submission of MIS and status reports

- Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines