Compliance Officer
HDFC Mumbai
Job Description
- To undertake compliance testing for new circulars/ regulations and existing circulars / regulations to ensure compliance with respect to regulatory circulars issued by SEBI, NSDL, CDSL, NSE, BSE, MSE, ICCL, NCL etc.
- Liaison with regulators for seeking clarifications / guidance on specific matters.
- To disseminate regulatory guidelines to concerned units and to Issue guidelines / assist concerned teams on regulatory circulars.
- Ensure compliance to orders issued by SEBI and submit timely response to SEBI on various requirements.
- Coordination with Banks internal teams and external auditors for facilitating regulatory audits.
- Assist in issuance of compliance testing report in time bound manner.
- Close co-ordination with Operations and Business team of Custody, Depository and Treasury units for implementation of regulatory guidelines and periodic regulatory submissions.
- To undertake compliance testing for new circulars/ regulations and existing circulars / regulations to ensure compliance with respect to regulatory circulars issued by SEBI, NSDL, CDSL, NSE, BSE, MSE, ICCL, NCL etc.
- Liaison with regulators for seeking clarifications / guidance on specific matters.
- To disseminate regulatory guidelines to concerned units and to Issue guidelines / assist concerned teams on regulatory circulars.
- Ensure compliance to orders issued by SEBI and submit timely response to SEBI on various requirements.
- Coordination with Banks internal teams and external auditors for facilitating regulatory audits.
- Assist in issuance of compliance testing report in time bound manner.
- Close co-ordination with Operations and Business team of Custody, Depository and Treasury units for implementation of regulatory guidelines and periodic regulatory submissions.
Bnp Paribas BankMumbai
Job Description
Job Title: Compliance Officer, Wealth Management (Assistant Manager)
Department: India CoE Compliance Hub
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Applicant
A successful Compliance Officer should have:
• Relevant educational qualifications in law, finance, or a related field.
• Strong knowledge of compliance processes within the banking and financial services industry.
• Familiarity with regulatory...