Senior Team Member Regulatory Reporting YES BANK

4.0 - 8.0 years

0 Lacs

maharashtra

On-site

The ideal candidate for this role should be well-versed in various aspects of regulatory reporting such as IRAC, Exposure, Large exposure norms, Resolution Plan Implementation, Sensitive sector monitoring, and more. You should have experience in preparing reports such as DSB, CRILC, PSL, MSME, SLBC, Defaulter, NPA, Bureau reporting (CIBIL), NeSL submission, Quarterly disclosure preparation, Risk Based Supervision submission, Potential NPA tracking, Exception reports, SCOD tracking, etc. Your responsibilities will include facilitating the half-yearly review of all process notes and QC checklists to ensure alignment with extant circulars. You should possess excellent oral and written communication skills, as well as strong project management abilities to oversee multiple automation projects in line with circular implementations. Additionally, you will be expected to assist in the evaluation and review of BRDs and facilitate UATs for automation projects. The successful candidate must be capable of working with minimum supervision, driving process improvement initiatives, and managing stakeholder expectations effectively. Experience in handling Regulatory/Statutory/Concurrent audits and tracking open audit points until closure is essential. A strong understanding of RBI circulars and prior experience in leading a regulatory reporting team for a mid-sized/large bank is required. Qualifications for this position include an MBA in Finance or CA, along with any relevant certification in regulatory reporting. The candidate should have a minimum of 4-8 years of relevant work experience in regulatory reporting within the Banking/BFSI domain. Strong presentation and communication skills are a must to excel in this role.,

Posted 1 day ago

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Accounts Trainee SINGH & GUPTA, Chartered Accountants

0.0 - 4.0 years

0 Lacs

jalandhar, punjab

On-site

We are looking for recent B.Com graduates who are keen on kickstarting their careers in bank auditing. As an audit assistant, you will play a key role in supporting our team in various types of audits such as Concurrent Audits, Revenue Audits, Statutory Audits, and Internal Audits. Ideal candidates should possess a fundamental understanding of accounting principles and have familiarity with banking operations and terminologies. If you are enthusiastic about expanding your knowledge and expertise in the field of auditing, we encourage you to submit your application without delay. This is a full-time position with a day shift schedule. In addition to the regular compensation, there is a yearly bonus offered to the successful candidate. The work location for this role is on-site. If you are ready to embark on a rewarding career path in bank auditing and meet the requirements mentioned above, we look forward to reviewing your application. Apply now to be considered for this exciting opportunity.,

Posted 2 weeks ago

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Compliance Officer Wealthy

5.0 - 7.0 years

15 - 18 Lacs

Bengaluru

Work from Office

Compliance Officer: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, Networth & Annual Returns, Client Holding Statements, and other exchange/depository reports. Oversee onboarding/closure of Authorised Persons, update website/MIS, and draft Board Resolutions. Handle circular reviews, website/form updates, and coordination with internal teams for execution. Ensure periodic updates to the BO Grievance Investor Charter on the website. Coordinate with finance and IT teams for statutory filings, including Cyber Audit, VAPT, Risk-Based Supervision, etc. Independently handle concurrent audits, internal audits, inspections (onsite/offsite), and statutory audits. Manage quarterly settlement and non-trading payout activities. Track surveillance alerts, manage responses to exchanges/CDSL, and coordinate necessary actions. Submit risk assessment templates, incident reports, STRs, and other regulatory filings (monthly, quarterly, yearly). Conduct regular team discussions and implement regulatory changes with cross-functional departments. Assist senior management with risk assessments, compliance strategies, and decision-making. Skills & Qualifications Minimum 5 years of experience in stock broking compliance (SEBI/Exchange/Depository). Strong understanding of SEBI, NSE, BSE, CDSL, NSDL regulations. Proven ability to handle internal and external audits independently. Familiarity with regulatory portals and systems (Exchange & Depository). Strong analytical skills for risk assessment and compliance review. Excellent verbal and written communication skills. Ability to coordinate across departments (IT, Finance, Legal) for audit and compliance requirements.

Posted 1 month ago

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