Vice President - Regulatory Operations - BFS

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

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

- Reply to SEBI 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 by SEBI.

- 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

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

- Conduct trainings to dealer's & Clients of trading members on the asset class that is traded on company

- Create awareness on Rights & Obligations of an investor