Associate Vice President - Regulatory Compliance - Stock Exchange Firm - LLB/LLM (12-20 yrs)

Associate Vice President - Regulatory Compliance - Stock Exchange Firm

Key Responsibilities:

Regulatory Compliance:

- Ensure the exchange operates in full compliance with applicable securities laws, regulations, and guidelines issued by regulatory bodies (e.g., SEBI, SEC, etc.).

- Develop, implement, and update compliance frameworks, policies, and procedures for the exchange.

- Monitor changes in regulations and advise management on their implications and necessary actions.

Coordination with Regulators:

- Act as a primary liaison between the stock exchange and regulatory authorities.

- Handle regulatory inspections, audits, and inquiries, ensuring timely responses and resolutions.

- Prepare and submit regulatory filings, reports, and disclosures in accordance with requirements.

Risk Management & Governance:

- Identify regulatory risks and provide recommendations to mitigate these risks effectively.

- Assist in implementing governance frameworks and ensure adherence to corporate governance best practices.

- Participate in internal committees related to compliance, risk, and governance.

Market Surveillance & Oversight:

- Oversee market surveillance activities to detect and report any suspicious or non-compliant trading activities.

- Collaborate with internal teams to ensure adherence to fair trading practices and investor protection standards.

Policy Development & Advocacy:

- Contribute to the development of policies that align with regulatory expectations while fostering innovation and market growth.

- Represent the exchange in industry forums and discussions on regulatory issues.

Stakeholder Engagement:

- Educate and engage with market participants to promote understanding and compliance with rules and regulations.

- Collaborate with legal, compliance, and business units to address regulatory concerns and foster a culture of compliance.

Qualifications & Skills:

Education: Master's degree in finance, law, business administration, or a related field.

Experience: 8-12 years