Functional Head- Membership(AVP Level)

14-17 years of relevant experience

• Compliance with SEBI and Exchange guidelines, regulations, rules, bye-laws et all and other applicable statutory norms in Membership Registration & Membership Compliance activities.
• Processing of registration applications and post activation requests, facilitating quick activation of Members.
• Timely conduct of Membership Internal Committee meetings or such committee(s) applicable, with responsibility of communication of Agenda and finalisation of Minutes of various committees (eg. MCSGFC, ROC, etc) and / or Board, within timelines advised by the committee(s) and Secretarial department.
• Coordination across all departments concerned within the Exchange, lead the interactions with SEBI and other Exchanges for all compliance and policy related matters.
• Timely intimation / reminders to the participants on the continuing compliance requirements of periodic submissions.
• Pro-active approach with Members and Regulator to work towards a more compliant regime.
• Continuous improvement in efficiency of operations through automation and adequate job-rotation of team members.
• Leading a team of twenty plus members for Member s registration & compliances related activities.
• Ensure that all processes are documented and SOPs are prepared
• Reviewing the processes / SOPs / check-lists to ensure they are updated
• Ensuring proper and accurate database management
• Ensuring timely and accurate MIS
• Ensure implementation of risk management framework creation of EWS framework where possible, raising EWS alerts /processing EWS alerts from other MIIs, raising PMLA alerts / STR alerts to Principal Officer based on observed information / suspicions
• Contribution to Enterprise Risk Management (related to membership dept. activities)- Inform any mishap / incident to concerned Risk Management team officials on real time basis; identification of potential risks, maintenance of updated Risk Register and devising risk-mitigation measures
• Implementation of the SEBI Circulars