Employer at KDPL
Views:340 Applications:66 Rec. Actions:Recruiter Actions:30
SVP - Compliance - Institutional Equities (10-20 yrs)
1. Thorough understanding and knowledge of SEBI FPI Regulations, Operating guidelines, SEBI (Custodian of Securities) Regulations, RBI Debt and RBI non-debt Rules.
2. Conducting enhanced due diligence and PMLA checks while onboarding FPI and FDI clients and ensure that the investment structure is in line with the Regulatory framework.
3. Verification of client documentation / due diligence prior to onboarding as per the Company Policy.
4. Review verification and updation of SOPs/Policies / processes pertaining FPI/FDI client onboarding, DDP and other compliance policies / processes including PMLA
5. Review / interpretation of various regulatory circulars, guidelines, developments and dissemination of the same in a timely manner along with its impact to the clients and businesses.
6. Ensure implementation of various regulatory circulars, guidelines in a timely manner
7. Attending to regulatory inspections and internal audits pertaining to client on-boarding, DDP and Custodian functions
8. Ensure timely submission of periodic reports for DP, Custody and DDP activities to SEBI, NSDL and other authorities.
9. Engaging with client / sales team / product team on queries relating to new products / client registration / renewal / Re-KYC / modification etc.
10. Handling and updating of NSDL DDP portal for client registration / renewal / modification / surrender and transition cases.
11. Provide support / assistance for various ad hoc queries / requirements of SEBI.
12. Database / MIS / Record maintenance pertaining to FPI clients.