Deputy Manager

4 days ago


india Banking and NBFC job Full time

● Vetting of ECM Transaction documents relating to Issues

● Vetting of EL and NDA for all departments

● Collating and sending Monthly regulatory updates to client

● Review and submission of Quarterly Compliance Certificate of Subsidiaries

● Preparation of SEBI Half-yearly Report

● Conducting Annual Compliance Test

● Review and Updating of Policies of client and subsidiaries

● Regularly updating Product Groups of new regulatory developments and the

implications of the same.

● Training on Compliance related matters


Key Requirements:

● Education: CS, LLB

● 3+ yrs relevant experience

● Establishment of various Compliance policies, procedures and oversee its

implementation and updation

● To identify and assess the compliance risks associated with business

activities and advise the management on a timely basis.

● Reviewing of Investment Banking documents such as NDAs, offer letters,

Issues Agreements and other agreements/documents relating public issues,

rights issues etc. as may be requested by the Business.

● Reviewing of Infra advisory business documents such as NDAs, offer letters,

Agreements, RFPs etc. as may be requested by the Business.

● Engaging with the Compliance and Risk officials at subsidiaries.

● Periodical Compliance monitoring/reviewing of Subsidiaries on Compliance

Risk in line with the regulatory requirements and testing its implementation.

● Assist in establishment of Systems and ControlsEngaging with the capital

markets regulators as may be necessary.

● To ensure statutory compliance with SEBI and update business groups and

management on regulatory amendments/notifications/updates etc and the

implications of the same.

● Periodical Compliance Risk Sensitisation and training to employees on

Compliance aspects.

● To identify potential areas of compliance vulnerability and risk, develop and

implement corrective action plans for resolution of problematic issues, and

provide general guidance on how to avoid or deal with similar situations in the

future.


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