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A wholly owned subsidiary and the investment banking arm of State Bank of India
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Deputy Manager / Manager

Mumbai

Date posted : 07/06/2024

Department

Compliance

Qualification

CS . LLB will be added advantage

Experience

3+ yrs relevant experience

Domain Knowledge Competencies

Attributes

  • Establishment of various Compliance policies, procedures and oversee its implementation and updation – for SBICAP Products.
  • To identify and assess the compliance risks associated with business activities and advise the management on timely basis.
  • Reviewing of Investment Banking documents such as NDAs, offer letters, Issues Agreements and other agreements/documents relating public issues, rights issues etc. as may be requested by the Business.
  • Reviewing of Infra advisory business documents such as NDAs, offer letters, Agreements, RFPs etc. as may be requested by the Business.
  • Engaging with the Compliance and Risk officials at subsidiaries.
  • Periodical Compliance monitoring/reviewing of Susidiaries on Compliance Risk in line with the regulatory requirements and testing its implementation.
  • Assist in establishment of Systems and Controls and its review for SBICAP and its Subsidiaries.
  • Engaging with the capital markets regulators as may be necessary.
  • To ensure statutory compliance with SEBI and update business groups and management on regulatory amendments/notifications/updates etc and the implications of the same.
  • Periodical Compliance Risk Sensitisation and training to employees on Compliance aspects.
  • To identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.

    • Essential

    Position Objective / Responsibilities

    • Vetting of ECM Transaction documents relating to Issues
    • Vetting of EL and NDA for all departments
    • Collating and sending Monthly regulatory updates to SBI
    • Review and submission of Quarterly Compliance Certificate of Subsidiaries
    • Preparation of SEBI Half-yearly Report
    • Conducting Annual Compliance Test
    • Review and Updating of Policies of SBICAP and subsidiaries
    • Regularly updating Product Groups of new regulatory developments and the implications of the same.
    • Training on Compliance related matters

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