Manager/Senior Manager - Compliance - CA/CS - BFSI

Job Summary : Manager/Senior Manager - Compliance (Mumbai), commodity exchange (Compliance)

About Our Client :

Our esteemed client is a nation-level, technology driven de-mutualized on-line commodity exchange with an independent Board of Directors and professional management - both not having any vested interest in commodity markets. It is committed to provide a world-class commodity exchange platform for market participants to trade in a wide spectrum of commodity derivatives driven by best global practices, professionalism and transparency.

Job Designation : Manager/Senior Manager - Compliance

Number of Position(s) : 1

Qualification : CA or CS

Experience : 5 to 8 years preferable from Commodities or Securities Exchange / Institutional Brokering firms

Job Responsibilities :

- Compliance & MDC

- Reporting to - VP Compliance

Job Purpose:

- To assist the Vice President in matters/interpretations relating to regulatory Compliance requirements

- To act as a nodal point between the regulator and Exchange for all matters by ensuring that all communication is checked for compliance with the directives prior to being sent to SEBI, particularly contract specifications

Principal Accountabilities:

Strategic :

- Provide opinion on subjects related to application of rules and regulations and all matters.

- Carry out interval review process and make suggestions for development of the internal control system.

Process/ Operational :

- Identify gaps in policy framework and drive the groups concerned to develop policies to address the groups

- Advice and help various department heads in implementation of policies, systems, procedures and controls.

- Ensure regulations laid down by SEBI are followed and adhered to.

- Co-ordinate with external agencies to ensure compliance with norms.

- Vetting of product related communications/documents from the SEBI compliance angle

- Ensuring that all written material created and published by the Exchange has been reviewed from angle of regulatory requirements.

- Follow up of compliance of SEBI directives by all relevant departments, members etc

- Update the compliance checklist on a periodic basis

- Review of all compliance issues relating to launch of contracts, SEBI correspondence

- Provide guidance to the teams/various departments/members on what implications an SEBI directive will have and how it needs to be implemented.

- Supporting the business team in preparing product proposals, changes in contract specifications. Monitoring of SEBI approvals for contract launch

- Reviewing all circulars that are issued by exchange

- Approving advertising material of members

- Continuous interaction with the SEBI for seeking approvals for any changes in contracts, product circulars, circulars having margin implication, circulars affecting members, etc

- Handling all member queries relating to Compliance. Providing compliance approvals for matters related to membership, CSG etc.

- Reviewing the Notes pertaining to SEBI correspondences to be placed in the Board Meetings. Preparing agenda notes and action taken report for MD / CEO meeting

- Overall ownership of all the compliance related matters on the website

Managerial:

- Provide support and guidance to departments for implementation of Compliance and legal policies and controls.

If interested kindly revert with following details at :

- Experience :

- Current CTC :

- Notice Period :

If you are not interested, remember you may know someone who is looking for an exciting opportunity. Feel free to forward this email as you see fit.

Kirthika Sruthi
Phone: 00912225476846 Work 9323615603 Mobile