Compliance Officer

• 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 Bank’s 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.