Assistant General Manager - Exchange Compliance

Job Description

Position Overview : As an officer in the Exchange Compliance Department, you will play a critical role in ensuring the integrity, transparency, and compliance of regulatory requirements by the Exchange. You will be responsible for detecting irregularities and enforcing regulatory standards to maintain the Exchange's credibility and safeguard investor interests. Role and Responsibilities : Regulatory Compliance : l Ensure adherence to SECC Regulations, SEBI circulars, Exchange rules issued from time to time. l Interpret and communicate regulatory changes and updates to relevant stakeholders within the organization. l Develop and implement compliance programs and procedures to mitigate regulatory risks and enhance the exchange's compliance framework. l Identify and assess emerging risks and vulnerabilities within the compliance requirements, including operational, market, and regulatory risks. l Develop risk mitigation strategies, controls, and contingency plans to address identified risks and protect the exchange's reputation and integrity. l Convening of Statutory Committee meetings • Discussions with SEBI and other MIIs on compliance matters Reporting and Documentation: • l Prepare and submit regulatory reports, disclosures, and filings to relevant regulatory authorities in a timely and accurate manner. l Maintain comprehensive records of compliance activities for audit and review purposes. l Generate regular compliance reports and metrics to assess the effectiveness of compliance initiatives and inform decision-making processes. l Collaborate with regulatory authorities in conduct of Exchange inspections. l Prepare policy notes, agenda notes, presenting the same to the regulator committees. Preferred Skills: l Understanding of securities laws, regulations, and rules governing stock exchanges. l Capital market knowledge, Regulatory Compliance acumen. l Excellent communication and interpersonal skills, with the ability to collaborate effectively with internal stakeholders, regulatory agencies. • l Integrity, professionalism, and commitment to upholding ethical standards and promoting a culture of compliance and integrity within the organization. l Strong analytical skills with the ability to interpret data, identify patterns and detect potential compliance issues. • l Proven ability to manage investigations, enforce compliance standards, and implement risk management controls in a dynamic and fast-paced environment.