Providing compliance and regulatory advisory to the business and associated support functions, including advice on existing and new banking regulations, SEBI guidelines and relevant BSE/NSE/NSDL/CDSL regulatory requirements. Being part of evaluating the evolving regulations, assessing the impact, building and maintaining control mechanisms to ensure compliance of the regulations. Being part of evaluating the evolving regulations, assessing the impact, building and maintaining control mechanisms to ensure compliance of the regulations. Assisting HOD and stakeholders to review new business initiatives, operational procedures, major operational and systems changes from a regulatory perspective. Managing and coordinating relationships with key regulatory agencies for registration formalities/procedures/ requirements of FIIs. Regulatory risk assessments, establishment of policies, performing training and executing compliance testing (as needed). Preparation of management and governance reports as needed. Supporting HOD in facilitating Board Meetings. Handling regular periodic compliances private companies and other event-based compliances, including. Coordinating with internal teams for the Board & Committee Meetings, preparation of Minutes and recordings. Liaising with various security market intermediaries like RTAs, Stock Exchanges, SEBI, Depositories, Depository Participants etc. Drafting of Annual Declaration and documents to be obtained from Directors at the time of appointment/re-appointment/annual declaration. Change in directors’ documentation for approval by NSE and documentation for intimation to SEBI, BSE, NSDL and CDSL. Preparation of Directors report, MDA, Corporate Governance Report, CSR reports, Tracking payment of dividend. Respond to availability of data/information wrt Observation in Secretarial Audit & Regulatory Audits /Inspection.

Business Development for the company’s Custodial Services and Fund Accounting product proposition to institutional clients. Acquisition of new FPI, FDI, FVCI and domestic accounts for the company and on-going relationship management responsibilities for newly acquired accounts. Making product pitches, presentations and explaining product features to client teams comprising CXOs, Treasury and Investment Operations. Tracking market news for new fund raising announcements and other items related to our area of business. Using the information gained to contact prospective clients for new business. Coordinating with internal departments and parent organizations for new business opportunities. Attending conclaves, seminars and industry conferences to generate leads for the business. Responsible for Account On-boarding for self-acquired clients, with the help of the documentation team.