Chief Regulatory Officer

2 days ago

Mumbai, India Multi Commodity Exchange Clearing Corporation Limited (MCXCCL) Full time

**Location**:
Mumbai

**Qualification Profile**: Post-graduate

**Experience**:
Minimum 15 Years of relevant experience in management positions. Must be sound in people Management and Leadership Skills. Also, must have strong communication skills

**Responsibilities**:

- Ensuring overall compliances relating to the relevant provisions of the SECC Regulations.
- Monitor regulatory environment and ensure compliance to policies, legal statutes, norms of Multi Commodity Exchange Clearing Corporation Limited in alignment to regulatory guidelines.
- Ensure proactive risk management from a compliance and regulatory perspective,
- Flag any compliance risk, to the governing board and / or to the MD as may be necessary.
- Act as a trusted advisor to the MD and the governing board on all matters relating to Compliance.
- Facilitate resolution of investor complaints.
- Carrying out member/ WSP/VSP inspections at regular intervals as per regulatory norms
- Handling matters relating to disciplinary action against the members with respect to their Inspection.
- Sending letters / representations to SEBI w.r.t. various compliances under the SECC Regulations, communicating SEBI compliance norms and requirements to various departments of the Clearing Corporation and preparation and filing of regulatory reports with SEBI
- Liaising with SEBI with respect to SEBI inspection
- Provide able guidance and oversight to the areas of Membership and Investor Grievances through creation of robust processes and ensuring continuous monitoring.

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