Regulatory Reporting Officer - Compliance & Processes

Job Description

Job title: Regulatory Reporting Officer - Compliance & Processes Grade: VP Location: Mumbai Goal KPI Regulatory Compliance & Audit: Ensure timely query resolution and submission of RBI and SEBI enquiries, external concurrent audits, operational risk team RCSA, and internal audits. Regular monitoring of all regulatory sites such as AMFI, SEBI, and RBI portals for prompt implementation of circulars related to investments. Agreement Tie-ups: Facilitate timely signing of agreements with product providers. Collaborate with legal and relevant stakeholders to obtain PPAC and Board approvals. Process Designing & Improvement: Develop new processes and identify improvement areas in existing workflows. Ensure all processes comply with regulations and board-approved policies. Launch process notes within defined turnaround time (TAT). Client & Service Queries: Efficiently handle and resolve client queries, particularly related to AT1 Bonds. Manage SGB regulatory mailers and remediation activities. Provide daily reporting to RBI with updated PAN, email ID, and bank account details of SGB investors. Maintenance of Records: Collect required data from all stakeholders, including OSD/BDTS, to meet SEBI/RBI/AMFI data maintenance requirements. Ensure the maintenance of requisite data points with OSD as per regulatory guidelines. Regulatory Campaigns: Manage regulatory digital and customer communication campaigns.