142 Regulation Jobs - Page 6

About the ESG Controllers team at Citi The Environmental, Social and Governance (ESG) Controllers team within the Finance function at Citigroup Inc (Citi) is responsible for strategically overseeing, preparing, reviewing, and ultimately submitting external ESG disclosures. The team collaborates closely with stakeholders from various departments such as the Sustainability & ESG office, Risk Management, Business Divisions, Human Resources, Legal, and other global functions to ensure timely and accurate reporting with appropriate controls and governance. About the Role As the Sustainability Reporting Policy & Governance Vice President (VP) within the ESG Controllers team, you will play a critical role in developing and implementing effective policies, governance, and controls over ESG disclosures globally for Citigroup. Your responsibilities will include establishing robust policies and standards for regulatory and voluntary sustainability reporting, coordinating cross-functional executive steering forums to ensure effective governance and oversight of reporting activities, and assessing the impact of emerging sustainability reporting requirements on Citigroup's overall disclosure strategy while ensuring compliance with regulatory guidelines. The ideal candidate for this role will have a background in reporting, governance, and controls, along with familiarity with sustainability reporting frameworks and regulations such as the EU Corporate Sustainability Reporting Directive (CSRD), ISSB standards, GHG Protocol, PCAF standards, and California climate-related disclosure rules. Reporting to the ESG Controllers Reporting Policy & Governance Lead, you will be a key contributor to implementing the overall ESG reporting strategy at Citi, requiring strong executive communication and project management skills. Responsibilities - Coordinate cross-functional executive governance forums for critical decision-making, review, and challenge of ESG disclosures and project oversight. - Develop executive-level communications summarizing Citigroup's sustainability reporting strategy, key disclosure items, and effectiveness of disclosure controls and procedures. - Draft, implement, and maintain policy, standard, and procedure documents for global sustainability reporting requirements. - Integrate sustainability reporting processes into Citigroup's Enterprise Risk Management Framework. - Support materiality assessments to identify priority ESG topics and meet stakeholders" needs. - Assess the impact of emerging ESG reporting regulations on Citigroup's disclosure strategy and develop action plans. - Coordinate with finance and regulatory reporting teams to ensure consistency of disclosures. - Develop expertise on ESG disclosures and stay updated on industry trends. - Coordinate with internal auditors or external assurance providers on ESG disclosures. Skills - Bachelor's degree in Finance, Accounting, Business, or related field. CPA and/or CA preferred. - Knowledge of ESG reporting frameworks, regulations, and industry trends. - 5+ years of relevant experience, preferably in financial services or Big 4 audit/consulting firms. - Understanding of financial and regulatory reporting processes. - Strong project management, organization, and decision-making skills. - Excellent communication skills, both written and verbal. ,

Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism. Citi's Risk Management organization oversees risk-taking activities and assesses risks and issues independently of the front line units. We establish and maintain the enterprise risk management framework that ensures the ability to consistently identify, measure, monitor, control, and report material aggregate risks. This position is part of the Artificial Intelligence (AI) Review and Challenge Group within Citi's Model Risk Management organization. This position will perform independent review and effective challenge of all lifecycle activities of Artificial Intelligence (AI) / Machine Learning (ML) non-model objects used in Citi. We're currently looking for a high caliber professional to join our team as Vice President, Generative AI Validation- Hybrid (Internal Job Title: Model Validation 2nd LOD Lead Analyst - C13) based in Mumbai or Bangalore, India. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decisions, and manage your financial well-being to help plan for your future. In this role, you're expected to provide independent review and effective challenge on the soundness and fit-for-purpose of AI/ML non-model objects used in Citi. You will manage AI/ML risk across all life-cycle activities, conduct analysis, prepare detailed technical documentation reports, identify weaknesses and limitations of AI/ML objects, communicate results to diverse audiences, manage stakeholder interactions, provide guidance to junior reviewers, and contribute to strategic, cross-functional initiatives within the model risk management organization. As a successful candidate, you'd ideally have an advanced degree (Masters and above) in fields such as mathematics, statistics, computer science, engineering, data science, AI/ML, etc. You should have 8-10 years of relevant experience with model validation preferred, experience with AI / ML, in-depth technical knowledge of common AI/ML techniques, ability to collaborate effectively, be self-motivated and detail-oriented, proficient in programs such as R and Python, and possess strong written & oral communication skills. Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community, and make a real impact. Take the next step in your career, apply for this role at Citi today.,

The Credit Portfolio Analyst II role involves the end-to-end implementation of Credit rules for customer-facing credit risk platforms. You will ensure that all credit risk technology solutions are deployed effectively and in alignment with regulatory requirements and business objectives. Your responsibilities will include validating platform performance, identifying optimization opportunities, and ensuring the stability, reliability, and scalability of systems in production. Your role will require a basic understanding of credit risk systems, customer impact, and technology operations. This includes pre/post-implementation assessments, operational risk management, and ongoing system monitoring to prevent disruptions and ensure compliance. You will be responsible for analyzing, designing, and implementing credit risk rules to support models, strategies, and adjudication actions. This will involve creating new rules or maintaining existing credit rules for Authorizations in SAS Fraud Management System (FSM) / SAS Raptor tool and performing unit testing to validate the rules logic. You will also be responsible for performing rules validation of all customer-facing credit risk platforms post-deployment, ensuring they function as intended, align with business strategies, and meet regulatory requirements. Additionally, you will implement credit auth monitoring processes to assess operational performance, data integrity, and customer impact across various product lines, ensuring timely resolution of production issues. Furthermore, you will work to enhance governance and control frameworks for credit risk platforms, focusing on operational risk management in production environments. This includes implementing ongoing risk assessments to identify and mitigate emerging risks, collaborating with cross-functional teams to integrate risk controls into the credit decisioning process, and ensuring issues are escalated appropriately. To qualify for this role, you should have at least 2 years of experience in credit risk analysis or corporate banking/financial institutions, hands-on experience with Base SAS, Advanced SAS, and SAS FMS/SAS Raptor tools. Additionally, you should have knowledge of credit and banking products, credit analytics, risk assessment, and transaction execution. Strong analytical skills, clear communication abilities, self-motivation, and business acumen are also important qualifications. This position requires a Bachelor's degree or equivalent experience. If you are interested in a challenging role that involves credit risk management, technology platforms, and operational risk controls, this opportunity may be a good fit for you.,

The Intermediate Finance Accounting Analyst role is a developing professional position that requires a solid integration of specialty knowledge with industry standards and practices. You will display a good understanding of how your team and area collaborate with others to achieve the objectives of the subfunction/job family. Your ability to apply analytical thinking and utilize data analysis tools will be crucial in breaking down information effectively and communicating it clearly. Strong communication and diplomacy skills are essential for exchanging potentially complex or sensitive information. In this role, you will have a moderate but direct impact on the core activities of the business. The quality and timeliness of the service you provide will directly influence the effectiveness of your team and other closely related teams. Your responsibilities will include identifying and resolving problems using independent judgment, implementing workflow or process changes, and demonstrating a strong understanding of the specific function. You will be accountable for regular reporting or process administration as the "owner" and will primarily focus on execution within defined parameters. Additionally, you will assist in managing one or more processes, reports, procedures, or products, and oversee the day-to-day work of junior-level employees. It is important to appropriately assess risk when making business decisions, with a particular focus on safeguarding Citigroup's reputation and assets. This includes ensuring compliance with applicable laws, rules, and regulations, adhering to policies, applying sound ethical judgment in personal behavior and business practices, and transparently escalating, managing, and reporting control issues. Qualifications: - 2-5 years of relevant experience Education: - Bachelors/University degree or equivalent experience The most relevant skills for this role include Accounting Processes and Financial Controls, Assessment, Credible Challenge, Financial Accounting, Management Reporting, Policy and Regulation, and Risk Management. If you require a reasonable accommodation due to a disability to use our search tools or apply for a career opportunity, please review the Accessibility at Citi. You can also view Citis EEO Policy Statement and the Know Your Rights poster for further information.,

Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism. Shape your Career with Citi Citi's Risk Management organization oversees Citi's risk governance framework and risk appetite, ensuring all risks generated by the firm's businesses are measured, reviewed, and monitored on an ongoing basis. We are currently looking for a high caliber professional to join our team as Analyst - Credit Risk Reporting, Hybrid (Internal Job Title: Officer - C11) based in Mumbai, India. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decisions, and manage your financial well-being to help plan for your future. For instance: - We believe all parents deserve time to adjust to parenthood and bond with the newest members of their families. That's why in early 2020 we began rolling out our expanded Paid Parental Leave Policy to include Citi employees around the world. - We empower our employees to manage their financial well-being and help them plan for the future. - We have a variety of programs that help employees balance their work and life, including generous paid time off packages. In this role, you're expected to: DART is the leading risk modeling and data analytics team in Citi. We use mathematical modeling and the latest technologies to calculate risk for the largest portfolios in Citi. We use visualizations and dashboards to communicate risk to senior stakeholders. Our models and analytics ensure that the bank has adequate capital during a crisis. We are a diverse group of professionals with backgrounds in physics, engineering, finance, economics, and data science. You will work alongside experienced colleagues to further develop your analytical and quantitative skills. Your responsibilities will include building analytical applications to tackle real-world challenges, paving the way for a career as a risk management expert and leader. The primary focus of the Risk Data Analytics Reporting and Technology team is to prepare complex and comprehensive risk management information in an accurate, timely, and reliable manner. The team is heavily involved in the submission of Regulatory Returns in the wholesale credit risk domain. In addition to facilitating Risk Managers, Business Managers, and Senior Management with critical data for portfolio monitoring, business reviews, and regulatory reviews, as well as engaging in strategic initiatives and implementing new processes. The team interacts with a range of other stakeholders across the firm including Finance, Technology, Business units, and Audit, and also assists with ad-hoc deliverables for regulators and other external audiences whenever required. Responsibilities: - Design time-sensitive analytics, visualizations, complex and high visibility reports across Credit Risk that provide critical data to Risk and Business management for portfolio monitoring and strategic decision-making. - Preparation of Regulatory submissions on a timely and accurate basis while ensuring the submissions are in line with Regulatory guidelines. Assisting Country Risk managers with ad hoc Regulatory questions. - Hands-on and end-to-end implementation of interactive business insights data visualization artifacts such as dashboards, scorecards, and reports using Tableau Desktop as a strategic reporting tool, from inception to production deployment. - Analysis, prep, transformation, and automation of the underlying data flows using Tableau Prep Builder which covers enterprise risk data sets across multiple source systems. - Contribute to the design of data models, data flows, reporting processes, etc. as part of migration to strategic tech tools and implement performance improvements to realize efficiencies for the timeliness of existing and new data visualization artifacts. - Identify and drive opportunities to improve process efficiencies, technological automation, and functionalities within data and reporting infrastructure. - Utilize Tableau to design visualizations, dashboards, and data flows. - Work closely with Technology groups to support automation efforts, writing business requirements for new/enhanced reports, reviewing and approving BRDs/FRDs, and conducting UATs. - Deliver regular and time-sensitive ad-hoc information for regulatory requests and internal/external audit reviews. - Ensure key controls and process documentation requirements are completed and compliant for MCA, BCBS, EUC, and other governance purposes. Qualifications: - 4+ years of experience in risk data analytics and reporting. - Strong knowledge of credit risk/Market Risk/Liquidity concepts and basic accounting. - Proficiency in Tableau, Power BI, or other BI visualization tools. - Advanced knowledge of EXCEL/VBA, MS Access, and PowerPoint. - Experience with managing/restructuring large, complex databases (e.g., with millions of records), and with programming languages such as Python, R, and SAS, is preferable. - Knowledge of Citigroup internal reporting applications, particularly Risk and Finance applications such as Optima, CitiRisk, COGNOS, Genesis, and Facility Management, is helpful. - Excellent written and verbal communication skills, and proven presentation skills. Ability to relay information to senior management in a succinct, insightful way, and negotiate internally with a broad range of stakeholders. - Good team player and excellent work ethics. Education: - Bachelor/Masters degree in Finance, engineering, computer science, or other analytically intensive discipline will be an advantage. Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community, and make a real impact. Take the next step in your career, apply for this role at Citi today.,

The ESG Controllers team at Citi is responsible for overseeing, preparing, reviewing, and submitting external ESG disclosures for Citigroup Inc (Citi). The team collaborates closely with various stakeholders from different functions within the organization to ensure timely and accurate reporting with proper controls and governance. As the Sustainability Reporting Policy & Governance Vice President (VP) within the ESG Controllers team, you will play a key role in developing and implementing effective policies, governance, and controls for ESG disclosures globally at Citigroup. Your responsibilities will include establishing robust policies and standards for sustainability reporting, coordinating executive steering forums to ensure effective governance, and assessing the impact of emerging sustainability reporting requirements on Citigroup's disclosure strategy. To excel in this role, you should have a background in reporting, governance, and controls, along with familiarity with sustainability reporting frameworks and regulations such as the EU Corporate Sustainability Reporting Directive, ISSB standards, GHG Protocol, PCAF standards, and California climate-related disclosure rules. Strong executive communication and project management skills are essential for this position. Your responsibilities will involve coordinating cross-functional executive governance forums, developing executive-level communications on sustainability reporting strategy, drafting and maintaining policy documents, integrating sustainability reporting processes into Citigroup's ERM Framework, supporting materiality assessments, and ensuring consistency in disclosures between different entities within the organization. You will also need to stay updated on evolving disclosure trends in the industry and collaborate with auditors and assurance providers. The ideal candidate for this role should hold a Bachelor's degree in Finance, Accounting, Business, or a related field, with CPA and/or CA credentials preferred. You should have at least 5 years of relevant experience, preferably in the financial services industry or Big 4 audit/consulting firms. Knowledge of ESG reporting frameworks, financial reporting, materiality concepts, project management, and strong communication skills are essential for success in this role. This position offers the opportunity to be a critical contributor to Citigroup's overall ESG reporting strategy, requiring close coordination with internal and external stakeholders. If you are self-motivated, capable of managing competing priorities, and possess a strong understanding of financial and sustainability reporting, this role presents an exciting opportunity to make a meaningful impact within the organization.,

Whether you're at the start of your career or looking to discover your next adventure, your story begins here. At Citi, you'll have the opportunity to expand your skills and make a difference at one of the world's most global banks. We're fully committed to supporting your growth and development from the start with extensive on-the-job training and exposure to senior leaders, as well as more traditional learning. You'll also have the chance to give back and make a positive impact where we live and work through volunteerism. Citi's Risk Management organization oversees risk-taking activities and assesses risks and issues independently of the front line units. We establish and maintain the enterprise risk management framework that ensures the ability to consistently identify, measure, monitor, control, and report material aggregate risks. This position is part of the Artificial Intelligence (AI) Review and Challenge Group within Citi's Model Risk Management organization. This position will perform an independent review and effective challenge of all lifecycle activities of Artificial Intelligence (AI) / Machine Learning (ML) non-model objects used in Citi. We're currently looking for a high-caliber professional to join our team as Vice President, Generative AI Validation- Hybrid (Internal Job Title: Model Validation 2nd LOD Lead Analyst - C13) based in Mumbai or Bangalore, India. Being part of our team means that we'll provide you with the resources to meet your unique needs, empower you to make healthy decisions, and manage your financial well-being to help plan for your future. In this role, you're expected to: - Provide independent review and effective challenge on the soundness and fit-for-purpose of AI/ML non-model objects used in Citi - Manage AI/ML risk across all life-cycle activities including initial review, ongoing monitoring, and periodic reviews - Conduct analysis and prepare detailed technical documentation reports sufficient to meet regulatory guidelines and exceed industry standards - Identify weaknesses and limitations of AI/ML objects and inform stakeholders of their risk profile and recommend compensating controls - Communicate results to diverse audiences such as AI/ML object owners and developers and senior management - Manage stakeholder interactions with AI/ML object developers and owners across the review lifecycle - Provide guidance to junior reviewers as and when necessary - Contribute to strategic, cross-functional initiatives within the model risk management organization As a successful candidate, you'd ideally have the following skills and exposure: - Advanced degree (Masters and above) is required in the fields of mathematics, statistics, computer science, engineering, data science, AI/ML, etc. - 8-10 years of relevant experience; (model validation is preferred) - Experience with AI / ML, Generative AI applications in areas such as Natural Language Processing, Computer Vision, etc. - In-depth technical knowledge of common AI/ML techniques and strong understanding of risks associated with AI/ML and corresponding mitigants - Ability to collaborate with peers and stakeholders with various backgrounds, and to effectively explain technical terms to an audience with different levels of technical knowledge - Self-motivated and detail-oriented - Proficiency in programs such as R and Python and common AI/ML packages - Strong written & oral communication skills Working at Citi is far more than just a job. A career with us means joining a family of more than 230,000 dedicated people from around the globe. At Citi, you'll have the opportunity to grow your career, give back to your community, and make a real impact. Take the next step in your career, apply for this role at Citi today.,

The Risk QC Credit Officer delivers results by exercising discretion and judgment that is based on an in-depth subject matter and industry expertise. You will be evaluating complex and variable issues with substantial potential impact, where development of an approach/taking of an action involves weighing various alternatives and balancing potentially conflicting situations using multiple sources of information. Strong communication and diplomacy skills are required in order to support, guide, and influence others, in particular colleagues within the function and in other areas. You may assist management with planning, policy and procedure formulation, and feedback regarding work product quality. It is crucial to have a strong knowledge of process and the ability to identify gaps and take the lead on process improvement. As a Risk QC Credit Officer, your responsibilities include using judgment to conduct reviews of credit transactions ranging in complexity with direct business impact. This includes new residential real estate mortgage/HELOC financings ranging primarily in size from $500M to $5MM, with some larger dollar transactions up to $50MM, for professional services and high net worth customers of Citi Wealth covering properties in the U.S. You will provide timely and accurate feedback to appropriate levels of management within the function regarding necessary corrections, adjustments, and observations found during second level monthly audit reviews. Consistently evaluating processes and controls for improvement opportunities, potential gaps, and appropriate remediation is essential. You should escalate process-related concerns to the appropriate levels of management within the function. Additionally, you may interact with Risk Management, Originations and/or Credit Policy staff, including senior management levels when applicable or directed, to resolve issues. Performing other duties and functions as assigned is also part of the role. The ideal candidate for this position should have 7+ years of experience in underwriting consumer mortgages; familiarity with Fannie Mae and Freddie Mac guidelines is required. Other experience with portfolio or home equity lending is a plus. Thorough knowledge of property and credit requirements, including secondary marketing concepts, is necessary. Excellent oral/written communication skills, strong analytical, process-driven, and problem-solving skills, along with the ability to interact with all levels of the organization, are important. You should be confident in your ability and able to credibly defend rationale for decisions if challenged or otherwise necessary. Excellent leadership skills are also a key qualification. Education-wise, a Bachelors/University degree strongly preferred (Business, Finance, Accounting, or Economics) or equivalent professional experience is required. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity, review Accessibility at Citi. Citi is an equal opportunity employer. View Citi's EEO Policy Statement and the Know Your Rights poster.,

IT Audit, Compliance, ISO 27001, RBI, SBI guidelines, regulatory, regulations.

We are seeking a highly skilled and experienced Electrical Head of Department (HOD) to lead and manage the electrical maintenance and operations at our chemical process plant. The ideal candidate will be responsible for ensuring the reliability, safety, and efficiency of all electrical systems, compliance with statutory regulations, and implementation of energy-saving initiatives. Key Responsibilities: Oversee daily operation and maintenance of all electrical systems in the plant. Lead both preventive and breakdown maintenance activities. Ensure adherence to statutory regulations and electrical safety standards. Plan and implement electrical projects , system upgrades, and energy-saving initiatives . Conduct Root Cause Analysis (RCA) of electrical failures and execute corrective actions. Manage vendor contracts and Annual Maintenance Contracts (AMC) for all electrical equipment. Maintain accurate documentation for audits and regulatory inspections . Collaborate with various departments to ensure smooth and coordinated operations . Drive Quality initiatives and continuous improvement related to electrical systems. Desired Candidate Profile: Strong background in chemical process plant operations . Proven leadership in managing plant electrical infrastructure. Good knowledge of electrical regulations, audits, and safety practices. Hands-on experience in maintenance planning , vendor management, and system troubleshooting.

Greetings! & very warm welcome to BEST-FIT Recruitment Riders, We are BEST-FIT Recruitment Riders feel immense pleasure to search and provide you with better carrier opportunities to aid you in achieving your aspirations. BEST-FIT Recruitment Rider is a Trusted Emerging Recruitment & Executive Search Partner for Pharmaceutical, Biotech, CRO, Chemicals, Medical Devices & Turnkey Pharma Projects Engineering-Construction Design Sectors. We are searching & recruiting highly qualified professionals for Middle-Senior-Upper-Management and Executive jobs. (Eg: Managers, VP, President, CFO & CEO). Also offering customized recruitment services by Headhunting & Executive Search for Middle & Top management level professionals according to clients specific needs. We are BEST-FIT Recruitment Riders do exactly what our name tells. To know more about us please visit our website: www.bestfitrecruitment.co.in We would like to inform you that presently we have professional career opportunity matching to your profile with one of our esteemed pharmaceutical client. Please see the following position summary: Client Name : India-based housing development company Position : Assistant Company Secretary Department : Company Secretary & Legal Location : Mumbai Job Profile : Assist in the preparation and organization of board meetings, including the creation of agendas and minutes. Support in ensuring compliance with statutory requirements & regulations applicable to the company. Assist in conducting legal research & preparing reports on regulatory changes affecting the company. Maintain, update, and store statutory books and records. Collaborate with different departments to facilitate smooth functioning of corporate processes. Assist in preparing & filing necessary documents with regulatory authorities, such as ROC (Registrar of Companies). Provide administrative support to the Company Secretary & other senior executives as needed. Maintain confidentiality of sensitive information & adhere to ethical and professional standards in all activities. Support the Company Secretary in managing shareholder communications and meetings. Desired Profile : CS (Inter) with 1 to 3 years experience in manufacturing industry. Foundational knowledge of corporate law, compliance, governance principles, and regulatory requirements. Excellent communication and interpersonal skills. Good Management & communication skills. Proficiency in MS Office suite and ability to learn new software applications quickly. Attention to detail and ability to prioritize tasks effectively. Ability to work independently as well as part of a team. Eagerness to learn and grow in the field of corporate governance and company secretarial practices. Smart and energetic, Aggressive & enthusiastic. Candidate should have been completed their professionals. Communication must be strong. Recruiter Details : BEST - FIT Recruitment Riders G-7, Amrit Complex, Opp: Mahavir Jain Vidhyalaya & Jain Derasar, R.V. Desai Road, Near Goyagate Circle, Vadodara-390001, Gujarat, India Mobile: 07226009222, 09722052906 E-Mail: hrd@bfrr.in Website: www.bestfitrecruitment.co.in

1)Trading Dealing in Shares/Stocks/Equities on behalf of clients with 0% dealing error. 2)Update clients for orders and trade on the recorded line. 3)Maintain active clients as per the defined norms. 4)Activate dormant clients. 5)Ensure resolution of clients query. 6)Maintain records of business on internal software. 7)Liaison with branches for revenue generation and query resolution 8)Follow guidelines of Risk management and Settlement 9)Ensure compliance as per various regulator and organization guidelines. 10)Acquire quality clients through networking, database, market intelligence and references from existing clients. Location- Mumbai, Bengaluru, Hyderabad, Chennai, Kolkata,Pune, Udaipur, Jodhpur, Jaipur, Ahmedabad, GOA, Delhi, Vadodra Surat. Exp.-Minimum 2 year - In a Stock Broking Firms Knowledge of Equity/ Stocks/ Shares Trading/ Dealing, Risk, Regulation, investments products - Mutual Funds, PMS

A Senior Compliance Executive in a technology department plays a crucial role in ensuring that the organization adheres to various legal, regulatory, and industry-specific standards related to Information Technology and data management such as GDPR, ISO 27001, ISO 27701, SoC2 Type 2, ISO 9001. 1. Regulatory Compliance Monitoring: o Ensure the technology department complies with relevant laws and regulations, such as GDPR, ISO 27001, ISO 27701, SoC2 Type 2, ISO 9001 and other data protection or cybersecurity laws. o Stay updated on new or changing regulations that impact the tech landscape. 2. Policy Development & Enforcement: o Develop and implement internal policies and procedures to ensure compliance with external regulations and internal standards. o Regularly review and update policies to ensure they remain aligned with changing regulations and industry best practices. 3. Risk Management: o Assess risks related to technology operations, particularly data privacy and cybersecurity risks. o Ensure that the tech department implements appropriate security measures to mitigate potential threats and risks. o Conduct regular audits and reviews of IT systems to ensure they meet compliance standards. 4. Training & Awareness: o Educate and train technology teams and other employees on compliance-related matters, such as data security, privacy policies, and risk mitigation strategies. o Promote awareness of compliance issues, helping staff understand their responsibilities in maintaining compliance. 5. Audit & Reporting: o Prepare reports for management, regulators, or auditors, demonstrating compliance with relevant regulations and policies. o Coordinate internal and external audits related to technology compliance. o Implement corrective actions where necessary to address non-compliance findings. 6. Data Privacy Management: o Oversee data protection strategies and ensure proper handling of sensitive information, including encryption, access control, and data retention policies. o Manage consent collection and user privacy preferences in accordance with privacy regulations. 7. Incident Management: o Oversee the handling of data breaches or other incidents that might affect compliance, ensuring timely reporting and response in accordance with regulatory requirements. o Coordinate with relevant authorities if there is a need to disclose any breaches or security incidents.

SVP/VP/ AVP/ Relationship Managers- PCG (Private Client Group) Advisory 1) Acquire and handle UHNI / HNI clients for PCG (Private Client group) having book size of Rs.25Lac and above. 2) Advising UHNI/ HNI clients on Equity, Derivatives, currency & commodity Markets and generate Revenue from them. 3) Cross selling Third Party Products like products like MF (Mutual Funds), PMS (Portfolio Management Services), AIFs (Alternate Investment Funds), Insurance. 4) Handling Queries & complains of client's & solving it within TAT. 5) Should apply deep market understanding & Advance strategies to increase book size & revenue. 6) Profiling clients by conducting in depth review of client's financial requirements, analysing information & recommending portfolios. 7) Monitoring & enhancing Advisor's Advising skills through call tracking, weekly targets & meetings, con calls. 8) Coordinate with Third Party Product Manufacturers, and all the stake holders. Knowledge of Equity/ Stocks/ Shares Trading/ Dealing, Equity Advisory, Risk, Regulation, investments products - Mutual Funds, PMS, AIF, Structured Products 7 To 12 Years in the Stock Broking firms _ Location : - Ahmedabad,Surat,Kolkata,Mumbai,Bengaluru,Hyderabad,Chennai,Pune,Jaipur,Telangana, Delhi, Vadodra

A Senior Compliance Executive in a technology department plays a crucial role in ensuring that the organization adheres to various legal, regulatory, and industry-specific standards related to Information Technology and data management such as GDPR, ISO 27001, ISO 27701, SoC2 Type 2, ISO 9001. 1. Regulatory Compliance Monitoring: o Ensure the technology department complies with relevant laws and regulations, such as GDPR, ISO 27001, ISO 27701, SoC2 Type 2, ISO 9001 and other data protection or cybersecurity laws. o Stay updated on new or changing regulations that impact the tech landscape. 2. Policy Development & Enforcement: o Develop and implement internal policies and procedures to ensure compliance with external regulations and internal standards. o Regularly review and update policies to ensure they remain aligned with changing regulations and industry best practices. 3. Risk Management: o Assess risks related to technology operations, particularly data privacy and cybersecurity risks. o Ensure that the tech department implements appropriate security measures to mitigate potential threats and risks. o Conduct regular audits and reviews of IT systems to ensure they meet compliance standards. 4. Training & Awareness: o Educate and train technology teams and other employees on compliance-related matters, such as data security, privacy policies, and risk mitigation strategies. o Promote awareness of compliance issues, helping staff understand their responsibilities in maintaining compliance. 5. Audit & Reporting: o Prepare reports for management, regulators, or auditors, demonstrating compliance with relevant regulations and policies. o Coordinate internal and external audits related to technology compliance. o Implement corrective actions where necessary to address non-compliance findings. 6. Data Privacy Management: o Oversee data protection strategies and ensure proper handling of sensitive information, including encryption, access control, and data retention policies. o Manage consent collection and user privacy preferences in accordance with privacy regulations. 7. Incident Management: o Oversee the handling of data breaches or other incidents that might affect compliance, ensuring timely reporting and response in accordance with regulatory requirements. o Coordinate with relevant authorities if there is a need to disclose any breaches or security incidents.

Role & responsibilities Responsible for domestic two wheeler enviornmnet regulations. Attend SIAM emission technical group meetings. Attend SCOE meetings at ARAI. Attend SIAM,ARAI meetings related to environment regulations. Updating other countries regulations Study new AIS/IS for testactivities.

Role & responsibilities Responsible for domestic two wheeler enviornmnet regulations. Attend SIAM emission technical group meetings. Attend SCOE meetings at ARAI. Attend SIAM,ARAI meetings related to environment regulations. Updating other countries regulations Study new AIS/IS for testactivities.