AVP - Compliance Manager - Bank (5-14 yrs)
- Handling Compliance for Depository Participant product for Axis Bank
- Ensure compliance of all regulatory / internal guidelines including regulatory periodic filing, reply to regulatory letters / circulars within the deadline time specified by the regulator.
- Handle directives received from statutory authorities
- Handle inspection of SEBI / NSDL / CDSL
- Handle various internal audits and timely closure of Audit reports
- Smooth conduct of Concurrent Audit and timely closure of all Concurrent Audit observations
- Analysis of customer complaints and resolutions while ensuring that the error control and risk control measures are in place.
- Follow up with Branches on various compliance matters
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