Yesbank
Location
Mumbai | India
Job description
SECTION I: BASIC INFORMATION | |||
Job Code | Cost Center | ||
Job Title | Regulatory Compliance Para Banking Activities | Functional Title | AVP |
Grade | Management Band | ||
Business Unit | Division | ||
Department | Compliance | Location | Mumbai |
Reporting to | No. of Direct Reports |
SECTION II: ROLE SUMMARY
The role holder will be responsible for handling Regulatory Compliance in respect of Custodian, Depository Participant, Designated Depository Participant, Merchant Banking, Pension Fund business of the Bank.
SECTION III: KEY RESPONSIBILITIES/ ACCOUNTABILITIES
Strategic/ Managerial Responsibilities
Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc.
Core Responsibilities
Handling Compliance with above mentioned regulations pertaining to business of Custodian, DP, DDP, Pension Fund, Merchant Banking Business of the Bank.
Circulating action points arising out of regulatory circulars/notifications/communications and pro-active follow up with the stakeholders ensuring timely implementation of the same.
Reviewing existing and new processes and handling correspondences with the regulators on Compliance related matters.
Handling Onsite Regulatory Inspections of SEBI, PFRDA, NSDL, CDSL, NSE, BSE, etc
Providing clarifications on queries raised by stakeholders within the Bank and from Group entities on Compliance related matters.
Drafting and vetting of various submissions to be made to the ACB/Board.
Submission of various regulatory reports from time to time.
People Management or Self-Management Responsibilities
Need to interaction with various regulatory authorities viz. SEBI, PFRDA, NSDL, CDSL, NSE, BSE, etc.
Need to interact with the middle management and senior management of the Bank.
Risk and Internal Control Responsibilities
SECTION V: KNOWLEDGE & EXPERIENCE
KNOWLEDGE
Minimum Qualifications
CA/CS
Language Skills
English
EXPERIENCE
Years of Experience
Nature of
Experience
Preferably have worked in Compliance / Product / Operations function of Banks & handled the Para Banking compliance
SECTION VI: COMPETENCIES & KEY PERFORMANCE INDICATORS | ||
BEHAVIORAL COMPETENCIES | ||
Core Competencies | Competency Name | Behaviors |
Capability to interpret regulations | Patience | |
Hardworking | Persuasive Skills | |
Good Communication Skills | Problem Solving Skills | |
Adherence to timelines | ||
TECHNICAL COMPETENCIES | ||
Technical Competencies | Sound knowledge of SEBI / NSDL / CDSL / NSE / BSE/PFRDA guidelines on DP, DDP, Custodian, Merchant Banking, Pension Fund activities |
Pls check this - for AVP / SM the experience of 8-10 years is required Max we can go upto VP role - so the lower side experience should be minimum required for AVP while higher side should be the maximum required for VP role.
Job tags
Salary
