Vice President/Head - Investor Services & Investor Protection Fund - Broking/Exchange (17-25 yrs)

We have an urgent job opening for a a reputed Company in Mumbai.

Requirement :- VP - Head of Investor Services and Investor Protection Fund

Key Responsibilities:

- Managing Investor Services Department : Compliance with Regulatory requirements - Proper functioning & coordination of ISCs

- Handling default related activity and investor claims related thereto - Managing Investor Protection Fund (Nodal Officer)- Compliance with Regulatory requirements - Proper disbursement of funds to the claimants

- Committee engagements, IPF Trustee engagements and compliance with the Committee and Trust directives

- Ensuring utilisation of IPF within compliance requirements

- Smooth coordination with stakeholders for conduct of investor awareness programs, compliance with SEBI directives.

- Automation in areas as required

- Ensuring timely and accurate Management Information - through implementation of

- 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

- Reviewing the processes / SOPs / check-lists to ensure they are updated

- Implementation of the SEBI Circulars

- Ensuring compliance with applicable Regulatory requirements, including those specified in SEBI Act, SEBI (Stock Brokers) Regulations, SEBI (Intermediaries) Regulations, SECC Reg., 2018 and other applicable Acts/Regulations, Circulars, guidelines.

- Coordinate and provide relevant information and clarifications to the Auditors and Inspections carried out by the Regulators and information requirements by SEBI, Law Enforcement Agencies or other Govt Bodies.

- Identifying potential strengths and weakness of team members and recommending trainings / providing on-the-job trainings

- Ensuring quality consciousness in the activities and output of the department - Ensuring quality Cross-functional / cross-departmental information exchange and quality deliberations

Qualification : Preferably CFA / CA / CS / Post Graduate. Other qualification with relevant experience

Exp : 17-20 years relevant experience

Job Location : Mumbai, Andheri(E)