VP/AVP - Inspection & Compliance/Regulatory - Stock Exchange Firm - CA/CS/LLB

Leading Stock Exchange Company - AVP- Inspection & Compliance- Mumbai

Company: Leading Stock Exchange Company

Role: VP- Regulatory Dept.

Location: Mumbai

CTC: 25-28% Hike on current CTC

Roles & Responsibilities:

Will be responsible to manage all regulatory operations at the region, liaise with external regulators and trading members from the region and to empower Investors about products and services and inculcate safe market practices.

1) Office Operations:

- 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.

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 SEBI, Chamber of commerce, Ministry of corporate affairs, Trade associations etc

3) Grievance handling:

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

- Build relationships with members, financial organizations and other related organizations 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