Compliance Officer

Job Description

To undertake compliance testing for new circulars/ regulations and existing circulars / regulations to ensure compliance with respect to regulatory circulars issued by SEBI, NSDL, CDSL, NSE, BSE, MSE, ICCL, NCL etc. Liaison with regulators for seeking clarifications / guidance on specific matters. To disseminate regulatory guidelines to concerned units and to Issue guidelines / assist concerned teams on regulatory circulars. Ensure compliance to orders issued by SEBI and submit timely response to SEBI on various requirements. Coordination with Banks internal teams and external auditors for facilitating regulatory audits. Assist in issuance of compliance testing report in time bound manner. Close co-ordination with Operations and Business team of Custody, Depository and Treasury units for implementation of regulatory guidelines and periodic regulatory submissions. To undertake compliance testing for new circulars/ regulations and existing circulars / regulations to ensure compliance with respect to regulatory circulars issued by SEBI, NSDL, CDSL, NSE, BSE, MSE, ICCL, NCL etc. Liaison with regulators for seeking clarifications / guidance on specific matters. To disseminate regulatory guidelines to concerned units and to Issue guidelines / assist concerned teams on regulatory circulars. Ensure compliance to orders issued by SEBI and submit timely response to SEBI on various requirements. Coordination with Banks internal teams and external auditors for facilitating regulatory audits. Assist in issuance of compliance testing report in time bound manner. Close co-ordination with Operations and Business team of Custody, Depository and Treasury units for implementation of regulatory guidelines and periodic regulatory submissions.