Vice President - Compliance & Capital Markets - BFSI

- Compliance for corporate & business compliance, laws, advisory, foreign jurisdiction laws, corporate secretarial and risk management in diverse work environments

- Ensuring compliance to the Regulations, Rules, Byelaws and various circulars issued by Regulators - SEBI, FMC, RBI and Exchanges / Depositories - NSE, BSE, MCX SX, MCX, NCDEX, CDSL / NSDL, MCX / NCDEX NSEL

- Handling SEBI / FMC / Exchange Inspections and finalizing the reports including appearing before the Disciplinary Action Committee / Bench of the Exchange.

- Core Compliance including conflict management, setting up & reviewing Compliance policies & processes, Compliance reviews & monitoring, staff training, etc

- Appearing / liasioning with the Regulators and Exchanges for Compliance related issues

- Formulating policies and procedures in lines with the requirements of the Regulators / Exchanges and ensuring timely implementation of the same.

- Review of the Compliance policies and procedures at regular intervals.

- Reviewing the existing compliance processes in consultation with the Internal Auditors and implementation of the suggestions of the Internal Auditors

- Appraising Management of the changes in Rules and Regulations by the Regulators and Exchanges and revised processes to be adopted

- Vetting of all the agreements to be entered into by or between the company or group