ASVP - Regulatory
Posted on :
22-06-2024
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Job Description
Oversee the operations of all departments namely Membership ISC Inspection Audit IGC at the regional office and ensure that they perform as per stated guidelines and standards.
Liaise with the external regulators like SEBI Ministry of Corporate Affairs Police Officials Directorate of Enforcement Income Tax department Economic Office Wing.
Reply to SEBI regional office queries and manage directives and requests coming from them; discuss it with Head Office whenever needed depending on the nature of the issue.
Address member queries and expectations in a tactical manner.
Conduct familiarisation programmes / trainings for brokers in order to help them to comply with new rules and regulations provided by SEBI.
Keep self updated regarding the market developments and movements in order to be able to manage member needs expectations and commitments.
Assess & Escalate issues of concern to Senior management
Respond to and manage escalations regarding regional issues if any from the second line managers at the regional office
Liaise with the external regulators like SEBI Ministry of Corporate Affairs Police Officials Directorate of Enforcement Income Tax department Economic Office Wing.
Reply to SEBI regional office queries and manage directives and requests coming from them; discuss it with Head Office whenever needed depending on the nature of the issue.
Address member queries and expectations in a tactical manner.
Conduct familiarisation programmes / trainings for brokers in order to help them to comply with new rules and regulations provided by SEBI.
Keep self updated regarding the market developments and movements in order to be able to manage member needs expectations and commitments.
Assess & Escalate issues of concern to Senior management
Respond to and manage escalations regarding regional issues if any from the second line managers at the regional office
Role Description for: ASVP Regulatory
To manage all regulatory operations at KRO.
To liaise with external regulators and trading members from the region.
To empower Investors about the companys products and services and inculcate safe market practises
To manage all regulatory operations at KRO.
To liaise with external regulators and trading members from the region.
To empower Investors about the companys products and services and inculcate safe market practises
Employment Type
Full Time
Company Industry
Key Skills
- Hair And Beauty
- Facilities
- IT Support
- Bank
- Asp.Net MVC
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