Chief Regulatory Officer

4 days ago

Erode, Tamil Nadu, India beBeeLeadership Full time ₹ 1,50,00,000 - ₹ 2,50,00,000

Job Overview:

To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems, policies, and cross-functional collaboration.

Main Responsibilities:

  • Surveillance Oversight: Supervise investigation of alerts, suspicious trades, and breaches; ensure timely escalation to compliance, legal, or regulators, identify emerging risks in trading patterns, market behavior, or operational processes; recommend preventive measures.
  • Surveillance Framework Development: Developing, testing, and deployment of Surveillance systems, creating surveillance framework, SOPs. Drive the selection, implementation, and enhancement of surveillance platforms, analytics tools, and AI-based monitoring systems.
  • Team Leadership and Development: Lead, mentor, and develop the surveillance team; ensure continuous skill enhancement in regulatory and analytical domains.
  • Process Improvement and Automation: Benchmark against global best practices; introduce process improvements and automation to enhance efficiency.
  • Risk Reporting: Present periodic surveillance reports, risk dashboards, and key metrics to the Board Committees, and seniors.
  • Policies and Procedures: Establish and periodically update surveillance policies, escalation protocols, and investigation frameworks.
  • Regulatory Compliance: Ensure adherence to SEBI, stock exchange, and other regulatory guidelines; liaison with regulators, interacting with market participants, other exchanges act as the primary point of contact for regulatory queries and inspections.
  • Collaboration and Stakeholder Management: Collaborate with Compliance, Risk, Technology, and Business teams to ensure integrated risk management and swift issue resolution.
  • Market Integrity Protection: Stay ahead of regulatory expectations and market behaviors, acting pre-emptively to protect market integrity.

Qualifications and Experience:

  • MBA (in finance) , CA, CS
  • Minimum relevant experience of 5 - 10+ years.

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