
Senior Leadership Position
3 hours ago
We are seeking an accomplished leader to oversee disciplinary and regulatory processes in the BFSI/capital markets domain.
About the RoleThe role involves leading a team, ensuring timely compliance with regulatory requirements, managing disciplinary proceedings against trading members, and collaborating with internal committees and external regulators.
Key Responsibilities:- Lead a team of 5–6 officers, ensuring adherence to defined SLAs and regulatory timelines.
- Oversee inspection report reviews, disciplinary proceedings, and preparation of cases for internal committees.
- Verify and issue show cause notices, action letters, and penalty approvals.
- Handle member queries, review requests, and appeals before higher authorities/SAT.
- Collate and finalize regulatory data requests from SEBI, auditors, and other bodies.
- Liaise with internal stakeholders (Compliance, Legal, Surveillance, IT, Committees) and external regulators (SEBI, EOW, MOF).
- Contribute to process automation, MIS development, and overall business excellence initiatives.
- Adherence to defined TATs & accuracy standards.
- Effective stakeholder management (internal & external).
- Timely regulatory responses and reporting.
- Team leadership and development.
- Continuous process improvement & innovation.
- CS/CA/MBA/LLB (mandatory).
- 13–15 years of experience in BFSI/Capital Markets with strong regulatory compliance exposure.
- Knowledge of statutory requirements in financial markets.
- Experience in presenting cases before Disciplinary Authorities, Committees, or SAT.
- Strong analytical, communication, and presentation skills.
- A dynamic and challenging leadership role in a market ecosystem.
- Exposure to high-level regulatory interactions and disciplinary frameworks.
- Collaborative and growth-oriented work culture.
- Professional development and advancement opportunities.
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