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03 Feb 2023


AVP - Regulatory, 15+ Years’ Experience In Delhi


12-15 Years

Chartered Accountant, SEBI, Legal Corporate Services, Income Tax, Listing with Stock Exchanges, legal department, Investment Research, Financial Services

Job Description

Position: AVP - Regulatory
Qualification: – CA, CS, MBA, LLB
Experience: 15+ years’ experience in financial sector. Financial service Sector, Similar Institutions
Location: Delhi

Job description

  • 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
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
  • Conduct trainings to dealer’s & Clients of trading members on the asset class that is traded on NSE.
  • Create awareness on Rights & Obligations of an investorx Organise Investor programmes through media in respective vernacular language
Grievance handling
  • Handle grievances from members and escalate them to Head office when required.
  • Build relationships with members, financial organisations and other related organisations
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
  • Resolve conflicts in the office in a tactical manner through dialogues and discussions.

03 February 2023


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