SBI Recruitment 2016: Roles & Responsibilities for Vice President - Compliance (Company Secretary)
SBI Recruitment 2016: Roles & Responsibilities for Vice President - Compliance (Company Secretary)
State Bank of India
CENTRAL RECRUITMENT & PROMOTION DEPARTMENT
CORPORATE CENTER MUMBAI
RECRUITMENT OF VICE PRESIDENT - COMPLIANCE (COMPANY SECRETARY)
ADVERTISEMENT NO. CRPD/CON/VPCS/2015-16/08
ONLINE REGISTRATION OF APPLICATION : 02.02.2016 TO 13.02.2016
PAYMENT OF FEES - ONLINE : 02.02.2016 TO 13.02.2016
LAST DATE FOR RECEIPT OF APPLICATION PRINT OUT WITH SCANNED COPY OF TESTIMONIALS THROUGH EMAIL: 17.02.2016
Annexure - I
Roles & Responsibilities for
Vice President – Compliance (Company Secretary)
1. Ensuring compliance of various Regulations of SEBI Listing Regulations, and related RBI/GOI provisions/Regulations and SBI Act/ Regulations.
2. Ensuring conformity with the regulatory provisions applicable to SBI in letter and spirit.
3. Co-ordination with and reporting to the SEBI, recognized stock exchange(s) and depositories and compliance with rules, regulations and other directives of these authorities.
4. Ensuring that the correct procedures have been followed that would result in the correctness, authenticity and comprehensiveness of the information, statements and reports filed by SBI under SEBI Listing Regulations. Periodical back testing of information.
5. Monitoring emails of grievance redressal division as designated by SBI for the purpose of registering complaints by investors.
6. Submission of periodical returns/ information to Stock Exchanges as per statutory/ regulatory requirement.
7. Submission of necessary disclosures to Stock Exchanges in terms of Bank's Fair Disclosure Policy.
8. Capital raising exercise i.e. Preferential Issue, QIP, and Rights issue, FPO, Bonds / Debt Capital etc.
9. To ensure compliance under Code of Conduct, Insider Trading Regulations and necessary reporting to Stock Exchanges.
10. Compliance related to conduct of Annual General Meeting (AGM) of shareholders of the Bank.
11. Preparation of probable questions & answers booklet for the AGM.
12. Reply to the queries raised by shareholders during the proceedings of the AGM.
13. Compliance related to conduct of General Meeting for election of Shareholder Directors.
14. Compliance related to conduct of General Meetings for capital raising, share-split or any other related activity.
15. Maintain minutes/proceedings of all General Meetings.
16. Intimation to Stock Exchanges on various developments, received from other departments of the Bank, which are required to be reported to Stock Exchanges, ensuring compliance with Bank's internal resources.
17. Announcement of quarterly results to Stock Exchanges through laid down procedure.
18. Advise/consult in preparation/drafting of Corporate Governance and other relevant sections of the Annual Report.
19. Reconciliation of Share Capital Audit (Secretarial Audit) — reporting to Stock Exchanges and putting up to the Chairman & ECCB.
20. Payment of quarterly (RNS) charges to London Stock Exchange and Singapore Stock Exchange, etc.
21. Payment of Annual Listing Fee to all Stock Exchanges including London Stock Exchange.
22. Payment of Annual Custodial Fee to NSDL/ CDSL.
23. Compliance of Corporate Governance Certificate after obtaining report from various departments and reporting the same to Stock Exchanges.
24. Submission of quarterly shareholding pattern to Stock Exchanges.
25. Submission of other regulatory returns on quarterly basis.
26. To obtain Corporate Governance Certificate from the Statutory Auditors.
27. Reengineering of Compliance Function in SBI.
28. Providing compliance support and clarifications to all departments in SBI, and to other entities in group wherever required.
29. Any other matter, as may be entrusted by the Bank from time to time.
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