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SBI Capital Search For Legal Professionals

Posted on: 11 Jan 2019 734 views
: Associate / Deputy Manager
: SBI Capital
: https://www.sbicaps.com
: Mumbai, Maharashtra, India
: LLB

Position       Associate / Deputy Manager

Group   Risk & Compliance

Location    Mumbai

Qualification CS & LLB

 No of yrs of exp.3+ yrs (Risk & Compliance)Domain Knowledge Competencies



• 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. 
• Compliance reviewing of Investment Banking documents such as NDAs, offer letters, issues agreements, etc. as may be requested by the Business. 
• Compliance reviewing of Infra advisory business documents such as NDAs, offer letters, etc. as may be requested by the Business. 
• Engaging with the Compliance and Risk officials at subsidiaries. 
• Periodical Compliance monitoring/reviewing of Subsidiaries 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. 

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