Hiring for a Financial Services. AVP Enforcement CTC: 45 lacs (including variable) To lead the enforcement function by managing disciplinary actions against Members, ensuring compliance with regulatory norms, and maintaining internal and regulatory timelines (TATs). The role involves oversight of legal processes, internal coordination, stakeholder communication, and governance responsibilities. 1. Disciplinary Proceedings: - Lead a team of 5-6 officers for initiating and executing disciplinary actions. - Analyze Inspection Reports, prepare Letters of Observation (LO), and analyze replies. - Draft Show Cause Notices and present cases to Internal Committees and Disciplinary Authorities. 2. Regulatory & Internal Compliance: - Ensure timely and accurate replies to SEBI, EOW, and other regulatory bodies. - Prepare and verify meeting minutes and final action letters to members. - Raise internal office memos for penalty collections and ensure financial correctness. 3. Stakeholder Collaboration: - Coordinate with legal counsels, compliance teams, auditors, and IT. - Present cases to committees - Handle member queries and appeals 4. Process Improvement & MIS: - Automate enforcement-related MIS processes. - Identify and resolve database issues related to enforcement workflows.

Mumbai

Assistant Vice President -  Enforcement  - Financial Services 

Job Description for Assistant Vice President -  Enforcement  - Financial Services  in Impeccable HR Consulting Pvt. Ltd. in  Mumbai for (13-15) years of experience. Apply Now!