Assistant Vice President Compliance

4 weeks ago

Ahmedabad, India SGX Group Full time

About us

Singapore Exchange Group (“SGX Group”) is Asia’s leading and trusted securities and derivatives market infrastructure, operating equity, fixed income, currency and commodity markets to the highest regulatory standards. As Asia’s most international, multi-asset exchange, we provide listing, trading, clearing, settlement, depository and data services, with about 40% of listed companies and over 80% of listed bonds originating outside of Singapore. We are the world's most liquid international market for the benchmark equity indices of China, India, Japan and ASEAN. In foreign exchange, we are Asia's leading marketplace and most comprehensive service provider for global FX over-the-counter and futures participants. Given the international nature of SGX’s business and our role as a key market infrastructure, SGX pays great attention to compliance with applicable laws and regulations.


SGX India Connect IFSC Private Limited (“SGX-ICI”) is a wholly owned subsidiary of SGX Group incorporated in Gujarat International Finance Tec-City (“GIFT City”). SGX-ICI facilitates the operation of the NSE IX–SGX GIFT Connect (“GIFT Connect”), which is a one-of-its-kind arrangement established between SGX Group and NSE International Exchange (“NSE IX”). The GIFT Connect seeks to unify international and domestic participants into a single liquidity pool for Nifty derivative contracts on NSE IX. SGX-ICI is registered with the International Financial Services Centre Authority (“IFSCA”), and is a trading member of NSE IX and self-clearing member of NSE IFSC Clearing Corporation Limited (“NICCL”).


The jobholder will be primarily responsible for ensuring that SGX-ICI adheres to relevant legal, regulatory and risk management requirements through continued monitoring, assessment and enhancement of existing compliance, a and risk management frameworks, and will be expected to work closely with internal and external stakeholders in executing appropriate measures to meet such requirements. The jobholder will also be responsible for overseeing corporate governance matters for SGX-ICI.


The jobholder is expected to possess and maintain updated knowledge on regulatory requirements relevant to the operations of SGX-ICI, including legislation, regulations, rules, circulars and directives, etc, issued by IFSCA, NSE IX, NICCL, and the Securities and Exchange Board of India (where relevant).


The jobholder will be required to manage and coordinate all communications and submissions with relevant regulators on behalf of SGX-ICI, working closely with operational, business, technology, compliance and risk management teams from the wider SGX Group to ensure timely responses and submissions in accordance with regulatory requirements.


Reporting to the CEO of SGX India Connect FFSC, with a matrix reporting to Head of Compliance of SGX Group, the incumbent is responsible for:


  • Actively monitor applicable regulatory requirements and updates in India and notify key stakeholders where required to formulate appropriate actions in response to such changes.
  • Work closely with the SGX Group Head of Compliance and Compliance function to implement, develop and strengthen relevant compliance frameworks, processes, policies and tools to ensure SGX-ICI's compliance with applicable regulatory requirements.
  • Work closely with the SGX Group Company Secretaries and Corporate Secretariat function to implement and develop corporate secretariat frameworks, processes, procedures, standards, guidelines, and policies to ensure SGX-ICI's compliance with applicable corporate secretariat requirements.
  • Work closely with the SGX Group Risk Management function to implement and develop required risk management frameworks and policies to ensure SGX-ICI’s compliance with applicable risk management requirements, including but not limited to Business continuity, outsourcing, risk assessment and control attestation.
  • Ensure and facilitate SGX-ICI’s compliance with applicable regulatory requirements. This includes compliance risk assessment, rule-mapping, compliance governance framework, regulatory advisory, compliance training, compliance reviews, regulatory reporting and regulatory liaison.
  • Manage and coordinate all communications and submissions with relevant regulators on behalf of SGX-ICI, working closely with operational, business, technology and compliance teams from the wider SGX Group to ensure timely responses and submissions in accordance with regulatory requirements.
  • Manage external auditors and coordinate internal teams for the purposes of completing 6-monthly audits in accordance with the requirements of NSE IX and NICCL.
  • Manage and facilitate regular and ad hoc corporate secretarial filings and submissions, including by working with external vendors and service providers to facilitate preparation and submission of annual returns and other requisite notifications, submissions, and filings.
  • Manage and facilitate regular and ad hoc general meetings and board meetings, including preparing and circulating board folios, drafting and reviewing meeting minutes and resolutions and maintaining statutory records.
  • Establish constructive and effective relationships with regulators relevant to SGX-ICI.
  • Ensure compliance, governance, and risk management support and advice to business units with respect to regulations in India.


Requirements

  • Bachelor’s Degree in Law, Accounting or Finance-related discipline with at least 6-10 years’ experience in financial regulatory work at or in advising stock exchanges or stock broking companies. Professional compliance qualifications will be a plus.
  • Strong and up-to-date knowledge of India’s regulatory and legal framework relating to corporate governance, compliance and risk management practices.
  • Excellent analytical and problem-solving skills.
  • Excellent written and verbal communication skills. Fluency in English.
  • Excellent interpersonal skills.
  • Possess strong planning, organisational, and record keeping skills.
  • Ability to oversee multiple projects, prioritise efficiently and meet deadlines.
  • Keep abreast with regulatory and legal changes within the industry.
  • Articulate and persuasive.
  • Good team player.
  • Strong partnership with internal stakeholders and senior executives.
  • Prior experience in corporate secretarial work either with a similar establishment or professional service firm would be advantageous.
  • Candidates who possess NISM-Series-III: Securities Intermediaries Compliance (Non-Fund) Certification by the National Institute of Securities Markets will be preferred.
  • Member with the Institute of Company Secretaries of India.

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