VP Regulatory Functions

Role

VP Regulatory Functions

Location

Mumbai

Qualification Profile

CA / CS / LLB / MBA / Post-Graduate in Finance, Economics or related field

Experience

18+ Years in Regulatory Functions; & 5 Years in Leadership Role

Job Responsibilities

• Job Description – VP Regulatory Functions
• About MSE
• Metropolitan Stock Exchange of India (MSE) is a SEBI-recognized stock exchange dedicated to fostering a transparent, efficient, and technology driven marketplace. It provides a well-regulated platform for trading across multiple asset classes, including equities, derivatives, currency, debt instruments. With a strong emphasis on innovation and investor protection, MSE offers a seamless trading experience to its market participants and investors. ~~- Role Summary :
• The VP Regulatory Officer will support the CRO in overseeing the Exchange’s regulatory and compliance framework and ensuring adherence to SEBI Regulations, SECC Regulations, Exchange Byelaws and other applicable laws. The role involves supervision of key regulatory functions including Surveillance, Compliance, Investigation, Member Inspection and Investor Services. The incumbent will work closely with regulators, internal departments and market participants to ensure effective regulatory governance, risk management and smooth functioning of Exchange operations. ~~- Detailed Job description :
• Assist the Chief Regulatory Officer in overseeing and managing the overall Regulatory functions of the Exchange. ~~ - Ensure compliance with SEBI Regulations, SECC Regulations, Exchange Byelaws, Rules, Circulars and other applicable regulatory requirements. ~~ - Monitor and supervise critical regulatory departments including Surveillance, Investigation, Compliance, Investor Services, Arbitration, Member Inspection and Investor Protection related activities. ~~ - Coordinate with SEBI, other Exchanges, Depositories and Regulatory Authorities on various regulatory and compliance matters. ~~ - Support and drive SEBI inspections, regulatory audits and compliance reviews conducted for the Exchange. ~~ - Review surveillance alerts, inspection observations and investigation reports to ensure timely regulatory action and closure. ~~ - Assist in formulation and implementation of Regulatory policies, SOPs, internal controls and governance frameworks. ~~ - Work closely with Technology, Operations, Legal and other departments to ensure regulatory compliance across Exchange functions. ~~ - Monitor regulatory developments, circulars and policy changes and assess their impact on Exchange operations. ~~ - Assist in handling disciplinary proceedings, member compliance matters and investor grievance related issues. ~~ - Prepare and present regulatory MIS, compliance reports and updates before senior management and committees. ~~ - Represent the Exchange in meetings, industry forums and discussions relating to regulatory and compliance matters. ~~- Candidate Profile:
• Candidate should be CA / CS / LLB / MBA / Post-Graduate in Finance, Economics or related discipline with minimum 18+ years of experience in Capital Markets. ~~ - Prior experience in Exchanges, Clearing Corporations, Depositories, Broking Firms or Regulatory Institutions shall be preferred. ~~ - Strong understanding of SEBI Regulations, Exchange Operations, Market Surveillance and Regulatory Frameworks. ~~ - Candidate should possess sound knowledge of compliance, inspections, investigations and market regulatory practices. ~~ - Strong leadership, stakeholder management and team handling capabilities. ~~ - Excellent communication, analytical, presentation and interpersonal skills. ~~ - Candidate should be capable of independently handling regulatory matters and supporting senior management on strategic regulatory initiatives. ~~- Compensation:
• Commensurate with experience and industry standards. ~~