Chief Regulatory Officer (CRO)
Detailed Job description :
- To ensure Compliance with Byelaws, Rules and various applicable Regulations. ~~ - To oversee Exchange systems in order to ensure compliance with SEBI SECC Regulations, all Applicable laws and regulations. ~~ - To interface regularly with internal and external stakeholders and manage relationships with other Exchanges, SEBI and other regulatory bodies. ~~ - To oversee the critical regulatory functions like Compliance, Surveillance, Investigation. ~~ - Listings, Investor Grievances, Arbitrations, Investor Protection Fund, Member Regulations and Inspections. ~~ - To spearhead all SEBI Inspection / Regulatory Audits. ~~ - To Work closely with internal business leaders and Legal to evaluate and interpret the regulatory impact of ongoing and proposal rule and regulations. ~~ - To Represent the Exchange at external meetings and conferences on regulatory matters. ~~ - To Set Regulatory policies, procedures, SOPs for the Exchange. ~~ - To formulate and implement the Regulatory Budgets. ~~ - To ensure market surveillance activities are properly executed by the Surveillance team. ~~ - To Review and approve disciplinary proceedings against members. ~~ Candidate Profile:
- Candidate should be a Chartered Accountant / Company Secretary /LLB/ MBA/Post Graduate in Finance/Economics with minimum 20 Years of experience in Capital Markets. ~~ - Candidate with degree in Law shall be preferred. ~~ - This is a Key Managerial Personnel (KMP) position. At least Five years of experience, preferably in a key regulatory leadership role in an Exchange / Clearing Corporation / Depository / Broking Firm. ~~ - Thorough knowledge and understanding of Capital Markets and Applicable Regulations. ~~ - Excellent communication, presentation and interpersonal skills. ~~
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