Chief Compliance Officer - BFSI

Roles & Responsibilities:

1. Regulatory Compliance:

- Ensuring conformity with all regulatory provisions applicable to the listed entity, both in letter and spirit.

- Developing and implementing compliance policies and procedures to ensure adherence to SEBI, RBI, and other applicable regulations.

- Actively monitoring adherence to SEBI/ RBI regulations, including insider trading norms, disclosure requirements, and corporate governance practices.

2. Regulatory Filings & Disclosures:

- Ensuring timely and accurate filings/ disclosures with stock exchanges, depositories, SEBI, and other regulators in the prescribed format.

- Establishing and maintaining procedures to ensure correctness, authenticity, and comprehensiveness of all information, statements, and reports filed under LODR regulations.

3. Liaison & Reporting:

- Acting as the primary point of contact with regulatory bodies such as SEBI, RBI, recognised stock exchanges, and depositories.

- Co-ordinating and reporting to the Board of Directors on compliance matters, including any significant breaches or issues.

- Assisting in the conduct of meetings of the Board/ Board Committees as well as the Annual General Meeting.

4. Investor Grievance Redressal:

- Monitoring the designated email address for investor complaints.

- Ensuring proper functioning of the grievance redressal mechanism for timely and effective resolution of investor complaints.

5. Risk Management & Governance:

- Implementing and maintaining internal controls and policies to identify, assess, and mitigate compliance risks.

- Supporting the Bank in strengthening corporate governance practices.

6. Training & Awareness:

- Providing training and guidance to employees on relevant compliance regulations and internal policies.

7. Clarifications & Miscellaneous:

- Providing clarification on compliance-related issues to internal and external stakeholders.

- Undertaking any other compliance-related assignments as directed by the Bank from time to time.