Chief Regulatory Officer - BFS

Educational Qualification - CA / CS / LLB / MBA (Fin) / CFA

Additional Qualification - Legal qualification is preferred

Work Experience - Minimum of 10 years of which minimum 5 years' of relevant experience in financial sector

Job Responsibilities:

- Creation of membership and related documents to be executed by new members

- Membership activities like admission, periodical review of membership, suspension, termination etc.

- Creation of members inspection policy, inspection formats and governance procedures

- Conduct of members inspection periodically as mandated by the regulator

- Membership related compliances

- Preparation and submission of reports to management and to committee and the board

- Formulate Policy for Regulatory Actions, including warning, monetary fine, suspension, deactivation of terminal, declaring a member as defaulter, expulsion, to be taken for various violations by the members

- To manage the Core Settlement Guarantee Fund (Core SGF) including its investments as per norms laid down and ensure proper utilization of Core SGF

- Any other membership related activities arising from time to time

- Ensure regulatory compliance - both SEBI and RBI

- Represent the company in front of SEBI, RBI and other regulators for compliance related matters

- Actively participate in discussions with regulators on circulars and policies impacting the business of the company

- Work with regulators in creating standards and frameworks

Position - Senior Manager/Assistant Vice President ( to be designated as a Key Management Personnel)