Para Banking Advisory Compliance

Para Banking Advisory Compliance: From 7 to 12 year(s) of experience- ₹ Not Disclosed by Recruiter MumbaiorRoles and ResponsibilitiesHiring for a Leading Private Sector Bank**Roles and Responsibilities:*Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc. Handling Compliance with above mentioned...

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...

Roles and Responsibilities Hiring for a Leading Private Sector Bank Roles and Responsibilities :- Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc. Handling Compliance with above mentioned regulations pertaining to business of Custodian, DP, DDP, Pension Fund, Merchant Banking...

Roles and Responsibilities Hiring for a Leading Private Sector Bank Roles and Responsibilities :- Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc. Handling Compliance with above mentioned regulations pertaining to business of Custodian, DP, DDP, Pension Fund, Merchant Banking...

Compliance Advisory - Retail Liabilities: From 6 to 10 year(s) of experience- ₹ Not Disclosed by Recruiter MumbaiorRoles and ResponsibilitiesDemonstrate good compliance risk awareness across different business- segments. 2. Keep abreast of regulatory developments or other matters affecting the- business activities, systems and controls. 3. Liaising with...

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**Compliance Advisory - Retail Liabilities**: - From 6 to 10 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** 1. Demonstrate good compliance risk awareness across different business - segments. - 2. Keep abreast of regulatory developments or other matters affecting the - business activities, systems and...

**Role of Compliance Advisory** a) Understand and implement the compliance approach as defined by the Compliance policy b) Provide guidance and advise on Regulatory matters to businesses and internal stakeholders c) Business Advisory - advising business on various product related to Payments Bank (CASA, Digital Banking, Products, IT, Treasury etc) on...

**IT Compliance **&** Governance with a Leading Bank**: - From 10 to 15 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** RBI Advisories / Circulars / Alerts / Questionnaire - Maintenance of CSITE Tracker - RBI - IT Examination Indent and Onsite Requirements - RBI - IT Examination Report - Report extraction...

**Compliance - Credit Cards RBL Bank**: - From 6 to 8 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** - Responsible for providing proactive and expert compliance advisory service to Credit - Card Business team - 2. Partnering, as appropriate, with business and support groups to manage relationships - with...

● 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...

● 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...

About KMCC :Incorporated in 1991, Kotak Investment Banking is a leading full-service investment bank in India offering integrated solutions encompassing high-quality financial advisory services and financing solutions.Key Responsibilities :The Analyst shall work closely with The team to help cover a few sectors, execute M&A transactions and support the...

About KMCC : Incorporated in 1991, Kotak Investment Banking is a leading full-service investment bank in India offering integrated solutions encompassing high-quality financial advisory services and financing solutions. Key Responsibilities : The Analyst shall work closely with The team to help cover a few sectors, execute M&A transactions and support the...

About KMCC :Incorporated in 1991, Kotak Investment Banking is a leading full-service investment bank in India offering integrated solutions encompassing high-quality financial advisory services and financing solutions.Key Responsibilities :The Analyst shall work closely with The team to help cover a few sectors, execute M&A transactions and support the...

About KMCC :Incorporated in 1991, Kotak Investment Banking is a leading full-service investment bank in India offering integrated solutions encompassing high-quality financial advisory services and financing solutions.Key Responsibilities :The Analyst shall work closely with The team to help cover a few sectors, execute M&A transactions and support the...

**Eligibility Criteria-** **Years of experience**: 4-8 years **Designation**: Manager/ Sr Manager **Location**: Mumbai **Qualification**:LLB **Key Responsibilities include-** Transaction Compliance: Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates. Drafting, reviewing and vetting various documents and...

About KMCC :Incorporated in 1991, Kotak Investment Banking is a leading full-service investment bank in India offering integrated solutions encompassing high-quality financial advisory services and financing solutions.Key Responsibilities :- The Analyst shall work closely with The team to help cover a few sectors, execute M&A transactions and support the...

JD ——————— – Completed SEBI registration for PMS business and monthly compliances – Drafting the PMS agreement and POA along with the KYC form – Coordination and setting up of Custodial and banking activities with ICICI Bank and HDFC Bank – Setting up the Wealth spectrum system. – knowledge of the Wealth spectrum system with...