Sr. Manager / VP - Regulatory Compliance The Premier Consultants ( Recruitment Company )

8.0 - 12.0 years

0 Lacs

navi mumbai, maharashtra

On-site

As a Sr. Manager / VP - Regulatory Compliance at the Leading Private Bank in Navi Mumbai, your role involves: You will be responsible for ensuring day-to-day compliance with regulatory requirements from authorities such as RBI, PMLA, UIDAI, NPCI, CKYC, etc. by disseminating regulatory guidelines, maintaining compliance trackers, and ensuring timely follow-up and closure of open items. Additionally, you will coordinate the circulation of regulatory correspondences to internal teams and submit accurate responses to regulators, updating compliance activities to executive and board-level committees regularly. Key Responsibilities: - Ensure day-to-day compliance with regulatory requirements from ...

Posted 2 weeks ago

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Senior Manager (Internal Audit Stock & Commodity Brokers) AEKE CONSULTANCY

5.0 - 9.0 years

0 Lacs

maharashtra

On-site

As a Senior Manager Internal Audit at a reputed consulting firm, you will be responsible for managing internal audits and ensuring regulatory compliance for stock and commodity brokers in alignment with SEBI and Exchange norms. Key Responsibilities: - Conduct and lead internal audits for broking houses across capital markets and commodities segments. - Ensure compliance with SEBI, NSE, BSE, MCX, and NCDEX regulations. - Review and verify processes related to margin reporting, PMLA compliance, and actual settlement procedures. - Assess and implement Risk-Based Supervision (RBS) frameworks, UCC management, and terminal operations control. - Provide support during regulatory inspections and pre...

Posted 4 weeks ago

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Regulatory Compliance Manager The Premier Consultants ( Recruitment Company )

5.0 - 9.0 years

0 Lacs

navi mumbai, maharashtra

On-site

As a Regulatory Compliance professional at a Private Bank in Navi Mumbai, you will be responsible for overseeing the daily regulatory compliance requirements related to RBI, PMLA, UIDAI, NPCI, CKYC, etc. This includes circulating regulatory guidelines, maintaining compliance trackers, ensuring follow-ups, and confirming adherence to guidelines. You will also be tasked with promptly sharing regulatory correspondences with stakeholders, submitting responses after verifying accuracy and completeness, and updating compliance status for executive and board-led committees. Additionally, you will manage end-to-end compliance testing, including planning, execution, result validation, and ensuring cl...

Posted 2 months ago

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