Compliance Advisory- Third Party Products

Role & responsibilities

• Handling Compliance with above mentioned regulations pertaining to Mutual Fund & Insurance Distribution Business of the Bank.
• Circulating action points arising out of regulatory circulars / notifications / communications and pro-active follow up with the stakeholders ensuring timely implementation of the same.
• Reviewing existing and new processes and handling correspondences with the regulators on Compliance related matters.
• Handling Onsite Regulatory Inspections of SEBI, IRDA
• Providing clarifications on queries raised by stakeholders within the Bank and from Group entities on Compliance related matters.
• Drafting and vetting of various submissions to be made to the ACB / Board.
• Submission of various regulatory reports from time to time.
• People Management or Self-Management Responsibilities Need to interaction with various regulatory authorities viz. SEBI, IRDA.
• Need to interact with the middle management and senior management of the Bank.

Skills Required

Due Diligence, Compliance Auditing, Vendor Management, Data Privacy, policy development , Stakeholder Engagement