Compliance Advisory

4 weeks ago


Mumbai, Maharashtra, India YES BANK Full time

ROLE SUMMARY

The role holder will be responsible for handling Regulatory Compliance in respect of third-party products (insurance, mutual fund etc.) distribution business of the Bank.

KEY RESPONSIBILITIES/ ACCOUNTABILITIES

Strategic/ Managerial Responsibilities Handling Regulatory Compliance for the Bank covering various regulations of SEBI, IRDA, AMFI etc.

Core Responsibilities

  • Handling Compliance with above mentioned regulations pertaining to Mutual Fund & Insurance Distribution 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, IRDA
  • 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, IRDA.
  • Need to interact with the middle management and senior management of the Bank.

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