Add office photos
All Filters
3 Metropolitan Stock Exchange Ofindia Jobs
Asst. Vice President- Compliance, Membership & Inspection
15-20 years
Mumbai
1 vacancy
Asst. Vice President- Compliance, Membership & Inspection
Metropolitan Stock Exchange Ofindia
posted 21d ago
Job Role Insights
Fixed timing
Key skills for the job
Job Description
- Interpretation and implementation of actionable specified in regulatory circulars, regulations and guidelines.
- Monitoring and ensuring timely submission of replies to SEBI Communications received through email, letters and circulars.
- Timely submission of periodic reports with SEBI and other Regulatory Authorities.
- Acting as single point contact for the Regulator.
- Representing Exchange in meeting with SEBI and other Exchanges/Depositories.
- Facilitation of SEBI Inspections and Internal Audit.
- Ensuring periodic updation of SOP pertaining to Regulatory Departments of the Exchange.
- Monitoring Regulatory Compliances performed by other Departments.
- Monitoring Compliance regarding code of conduct i.e. collecting Quarterly, Yearly declaration from Staff.
- Supervising Audit & Inspection of members of the Exchange.
- Supervising processing of application pertaining to Registration, Activation, de-activation and Surrender of membership.
- Regular maintenance processes like Change in Shareholding, Directors, Control Change, Merger, De-merger, and Amalgamation.
- Supervising Processing of application pertaining to Registration, Cancellation of Authorised Person and its regular changes with regard to name, directors/partners, addresses.
- Processing of Application pertaining to allotment, shifting and cancellation of UserID given to members.
- Half /Yearly compliances like Networth, Audit Report, Annual Report, Member Insurance. SEBI Inspection, Internal Audit Compliance and any other regulatory requirement from time to time and NOC pertaining to Status report etc.
- Conducting of On-site Inspections and post-inspection compliance as per prescribed guideline. Implementation of Enhanced supervision, Action based on alerts received from Enhanced Supervision System.
- Issuing Exchange related circulars to the market within the prescribed time frame.
- Verification of compliance by members of various requirements like Internal Audit Report, System Audit Report, Quarterly Compliance Certificate, Client Funding disclosure, Advertisement.
- Should have experience in Compliance, Inspection in Capital Markets. Experience of working with a MII shall be preferred.
- Should have sound knowledge of applicable SEBI Regulations.
- Should have strong Analytical, Communication, Writing and Presentation Skills.
Employment Type: Full Time, Permanent
Read full job descriptionPrepare for Vice President roles with real interview advice
What people at Metropolitan Stock Exchange Ofindia are saying
Vice President salary at Metropolitan Stock Exchange Ofindia
What Metropolitan Stock Exchange Ofindia employees are saying about work life
Metropolitan Stock Exchange Ofindia Benefits
View more benefits
Compare Metropolitan Stock Exchange Ofindia with
National Stock Exchange of India
Bombay Stock Exchange
Multi Commodity Exchange of India
Indian Energy Exchange
National Commodity & Derivatives Exchange
Central Depository Services (I)
Bse Institute
MCX Stock Exchange
Indian Clearing Corporation Limited
National Securities Depository
Cogoport
Treebo Hotels
KrazyBee
Naaptol Online Shopping
TravelTriangle
MedTourEasy
Bijnis
Vogo Automotive
Hermes I Tickets
Mystifly Consulting
