Job Purpose
The SVP - Regulatory Affairs will establish and lead the exchange’s regulatory framework across Listing and Listing Compliance, Unique Client Code (UCC) governance and Member Technology Compliance. This role ensures flawless adherence to SEBI regulations, provides strategic advisory to senior management and maintains relationships with key regulators.
Key Result Areas
- Establish and manage end-to-end listing compliance, from DRHP stage to ongoing periodic compliances.
- Design and implement a compliance framework for managing large UCC data sets to meet FEMA, PMLA, and SEBI guidelines.
- Lead the Member Technology Compliance program (covering member compliance pertaining to System, Cyber, VAPT, technical glitches, etc.) ensuring member adherence to SEBI directives w.r.t. technology and information security norms.
- Act as the key liaison with SEBI and other regulators for aforementioned areas, representing the Exchange with confidence and authority.
- Advise senior management on regulatory changes and present compliance reports to the board and committees related to the aforementioned areas
Educational Qualification
CS preferred, CA or MBA (Finance) may also be considered
Experience
- 15-20 years in a senior compliance or regulatory role, including Listing experience
- Background in a stock exchange or a large, compliance-focused merchant banking firm, with senior compliance officer experience
Skills Required
- Unmatched knowledge of SEBI regulations, circulars, and guidelines for exchanges and brokers.
- IT-savvy with solid understanding of technology compliance and information security audits.
- Excellent analytical, numerical, and interpersonal skills.
- Confident and poised when engaging senior regulators.
- Collaborative, approachable leadership style.
Functional Competencies required
- Regulatory Expertise & Application: Deep understanding of capital market regulations (SECC, SCRR, LODR, Companies Act) with the proven ability to interpret,
📌 Senior Vice President (Mumbai)
🏢 NCDEX
📍 Mumbai