Assistant Vice President - Compliance - BFS

AVP (Compliance)

Job Description :

1 - Office Operations :

- Oversee the operations of all departments, namely, Membership, ISC, Inspection, Audit, and IGC, at the regional office and ensure that they perform as per stated guidelines and standards.

- Liaise with the external regulators like Ministry of Corporate Affairs, Police Officials, Directorate of Enforcement, Income Tax department, Economic Office Wing.

- Reply to regional office queries and manage directives and requests coming from them; discuss it with Head Office whenever needed, depending on the nature of the issue.

- Address member queries and expectations in a tactical manner.

- Conduct familiarisation programmes / trainings for brokers in order to help them to comply with new rules and regulations provided.

- Keep self updated regarding the market developments and movements in order to be able to manage member needs, expectations and commitments.

- Assess & Escalate issues of concern to Senior management

- Respond to and manage escalations regarding regional issues , if any, from the second line managers at the regional office.

2 - Investor awareness :

- Increase investor awareness through presentations to them on market scenarios and product offerings in tie-up with Investor Association of India, with Chamber of commerce, Ministry of corporate affairs, Trade associations etc

- Conduct trainings to dealer's & Clients of trading members on the asset class.

- Create awareness on Rights & Obligations of an investor

- Organise Investor programmes through media in respective vernacular language.

3 - Grievance handling :

- Handle grievances from members and escalate them to Head office when required.

- Build relationships with members, financial organisations and other related organisations to provide better service to members/clients.

4 - Subordinate Development :

- Ensure person-job fit in the regional office to enhance employee productivity in the region.

- Coordinate for new joinees to undergo induction programme.

- Develop subordinates through continuous mentoring and identifying training needs for them

- Resolve conflicts in the office in a tactical manner through dialogues and discussions.