Treasury Compliance Role - Bank

Major Responsibilities:

1 - Regulatory Guidance - Providing regulatory guidance on various business structures and transactions pertaining to the treasury and PD operations.

2 - Review of Product and Process Notes - Reviewing various product and process notes pertaining to the treasury and PD operations of the Bank from a regulatory point of view.

3 - Interacting with the Regulators - Regularly interacting with the regulators to seek clarifications on guidelines or representing various business proposals for their approval.

4 - Handling Regulatory Inspections - Handling the on-site regulatory inspection and interacting with the regulatory inspectors for ensuring that the requisite information flows seamlessly and also handling the process of discussions and finalizing the Banks responses on various regulatory observations during the course of the inspection.

5 - Implementation of latest regulations - Ensuring that the action points from the latest regulations are shared with the concerned stakeholders and the same are implemented within regulatory prescribed deadlines or within suitable time in absence of any regulatory prescribed deadlines.

6 - Management Information System (MIS) - Ensuring that accurate MIS are prepared and circulated to the Top Management on a timely basis.

7 - Submission of Notes to the Board / Board level Committees - Ensuring that various compliance related notes are prepared and submitted to the Board / Board Level Committees on a timely basis either through placing it in the meeting or through circulation.

8 - Capital Market & Depository Participant (DP) Operations - Advisory and reporting of DP business to NSDL as well as CDSL.

Rishita Tanna
Skillventory