Assistant Vice President/Vice President

2 months ago


Kolkata, India Fast Career Consultants Pvt Ltd Full time

Leading Stock Exchange Company- AVP- Compliance- Kolkata

Company : Leading Stock Exchange Company

Role : AVP - Inspection Audit & Compliance

Location : Mumbai

Roles & Responsibilities :

Purpose of the role :

- To manage all regulatory operations at KRO.

- To liaise with external regulators and trading members from the region.

- To empower Investors about products and services and inculcate safe market practices

- 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.

- Handle all grievances from members and escalate them to Head office when required.

- Build relationships with members, financial organizations and other related organizations to provide better service to members/clients.

- Develop subordinates through continuous mentoring and identifying training needs for them.

- Resolve conflicts in the office in a tactical manner through dialogues and discussions.

(ref:iimjobs.com)

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