Chief Regulatory Officer - BFSI/Stock Broking/Mutual Fund - Financial Institution

We are searching for Chief Regulatory Officer for leading Financial Institution.

Location - Mumbai

Qualification: CA or MBA

Experience: 18 to 23 + years

CTC : 80.00 L to 1.25 Cr including variable

Role Purpose:

To ensure regulatory department's all function -surveillance ,Inspection ,Risk management ,default , investors protection, investors services ,SEBI regulations. RBI guideline etc.

Key Responsibilities:

1. Exchange Compliance with Regulatory requirements by closely working with all the departments and appropriate reporting to Regulator.

2. Dealing with Regulatory inspections, oversight related issues and monitor fixing of issues flagged by SEBI across all divisions including Trading, Risk Management, Technology, Clearing and Settlement

3. Leading membership department which was cast with responsibility of servicing members from admission stage, enablement stage, periodic compliances, exit of members both voluntary and declared defaulter/expulsion of members.

4. Responsible for overseeing all Regulatory division spread across Market Surveillance, Investigation, Inspection of Brokers, Enforcement activities, Issuer Regulations, Investor Grievances, Arbitration, Defaulter related claims, investor education etc.,

5. Engagement with Regulators on all the policy related issues, being part of the Committee advocacy based on fairness and needs of the market as a whole

6. Dealing with Statutory Regulatory Committees, coordinating with Committee members.

Should you have above qualifications and skills please apply on IIM Jobs and call Deepti on 9825312023.