AVP - Regulatory, 15+ Years’ Experience In 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

• 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

• Handle grievances from members and escalate them to Head office when required.
• Build relationships with members, financial organisations and other related organisations

• 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.