Para Banking Advisory- VP - Compliance
Yes Bank
8 - 10 years
Mumbai
Posted: 4/22/2025
Job Description
| SECTION I: BASIC INFORMATION | |||
| Job Code |
| Cost Center |
|
| Job Title | Regulatory Compliance Para Banking Activities | Functional Title | AVP |
| Grade |
| Management Band |
|
| Business Unit |
| Division |
|
| Department | Compliance | Location | Mumbai |
| Reporting to |
| No. of Direct Reports |
|
| SECTION II: ROLE SUMMARY |
|
The role holder will be responsible for handling Regulatory Compliance in respect of Custodian, Depository Participant, Designated Depository Participant, Merchant Banking, Pension Fund business of the Bank. |
| SECTION III: KEY RESPONSIBILITIES/ ACCOUNTABILITIES | |
| Strategic/ Managerial Responsibilities | Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc.
|
| Core Responsibilities | Handling Compliance with above mentioned regulations pertaining to business of Custodian, DP, DDP, Pension Fund, Merchant Banking 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, PFRDA, NSDL, CDSL, NSE, BSE, etc
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, PFRDA, NSDL, CDSL, NSE, BSE, etc. § Need to interact with the middle management and senior management of the Bank. |
| Risk and Internal Control Responsibilities | § |
| SECTION V: KNOWLEDGE & EXPERIENCE | |
| KNOWLEDGE | |
| Minimum Qualifications | § CA/CS |
| Language Skills | § Yes Bank is a private Indian bank offering retail, corporate, and digital banking services. After undergoing financial restructuring, it’s focused on stability and growth. The bank provides various services including loans, deposits, and digital payments. Reach out to ideal employees in one shot! The intelligent campaign for reaching out to the ideal audience to whom you can ask for help (guidance or referral). |