Compliance Officer TPP advisory
YES BANK
Date: 3 hours ago
City: Mumbai, Maharashtra
Contract type: Full time
Role Summary
The role holder will be responsible for handling Regulatory Compliance in respect of third-party products (insurance, mutual fund etc.) distribution business of the Bank.
Key Responsibilities/ Accountabilities
Strategic/ Managerial Responsibilities Handling Regulatory Compliance for the Bank covering various regulations of SEBI, IRDA, AMFI etc.
Core 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.
The role holder will be responsible for handling Regulatory Compliance in respect of third-party products (insurance, mutual fund etc.) distribution business of the Bank.
Key Responsibilities/ Accountabilities
Strategic/ Managerial Responsibilities Handling Regulatory Compliance for the Bank covering various regulations of SEBI, IRDA, AMFI etc.
Core 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.
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