To ensure compliance relating to following businesses :

1. Corporate Finance/Investment Banking and Institutional Broking

2. Proprietary Trading

3. Compliance of overseas branches and subsidiaries

4. New Products & Compliance queries- Insti

To supervise and monitor team members following compliances :

1. PFRDA – POP Compliance.

2. FATCA Compliance

3. Regulatory Representation, response on Discussion paper

4. Handling Inspection

5. New Products & Compliance queries – Retail

6. Circular tracking and dissemination

7. Tracking and implementation of Regulatory circulars

8. Institutional KYC Compliance

9. Investment Banking Mandate Approval process

10. Grey and Restricted list updation & memo

11. TRAI Compliance

Manager – Compliance – BFS (6-20 yrs)