ASVP - Regulatory

1 week ago

sany, India Randstad India Full time
Oversee the operations of alldepartments namely Membership ISC Inspection Audit IGC at theregional office and ensure that they perform as per statedguidelines and standards.
Liaise with the externalregulators like SEBI Ministry of Corporate Affairs Police OfficialsDirectorate of Enforcement Income Tax department Economic OfficeWing.
Reply to SEBI regional office queries and managedirectives and requests coming from them; discuss it with HeadOffice whenever needed depending on the nature of theissue.
Address member queries and expectations in atactical manner.
Conduct familiarisation programmes /trainings for brokers in order to help them to comply with newrules and regulations provided by SEBI.
Keep selfupdated regarding the market developments and movements in order tobe able to manage member needs expectations andcommitments.
Assess & Escalate issues of concern toSenior management
Respond to and manage escalationsregarding regional issues if any from the second line managers atthe regional office
Role Description for: ASVPRegulatory
To manage all regulatory operations atKRO.
To liaise with external regulators and tradingmembers from the region.
To empower Investors about thecompanys products and services and inculcate safe marketpractises