Director
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Job Location:
Monthly Salary:
Posted on:
10 hours ago
Vacancies:
1 Vacancy
Job Summary
- 10 15 years of experience in capital markets with substantial prior experience in a
SEBI-regulated entity such as Stock Broker Depository Participant (NSDL/CDSL) PMS AIF
Investment Adviser Research Analyst Stock Exchange Clearing Corporation or a
SEBI-registered compliance consulting firm.
- Minimum 5 7 years of hands-on experience in regulatory compliance risk management
operations or supervisory roles within the securities market.
- Prior experience must be practical and operational involving direct exposure to SEBI and
Exchange regulations and not limited to advisory or support functions.
- The candidate should have personally handled or overseen exchange/SEBI compliance
regulatory inspections or audits implementation of SEBI circulars KYC and AML/PMLA
compliance regulatory reporting risk management margins surveillance client fund
segregation and statutory or regulatory audit submissions. - Must satisfy SEBIs Fit &
Proper criteria with a clean regulatory financial and reputation track record.
Key Responsibilities:
Regulatory & Licensing
- Act as Designated Director under applicable SEBI regulations.
- Lead and support SEBI registration and exchange membership processes.
- Represent the company before SEBI Stock Exchanges Depositories and
Clearing Corporations. - Handle regulatory inspections audits observations
and show-cause notices.
Compliance & Governance
- Oversee adherence to SEBI Acts Regulations Exchange by-laws AML/PMLA KYC and
investor protection norms. - Approve and monitor compliance policies SOPs risk
SEBI-regulated entity such as Stock Broker Depository Participant (NSDL/CDSL) PMS AIF
Investment Adviser Research Analyst Stock Exchange Clearing Corporation or a
SEBI-registered compliance consulting firm.
- Minimum 5 7 years of hands-on experience in regulatory compliance risk management
operations or supervisory roles within the securities market.
- Prior experience must be practical and operational involving direct exposure to SEBI and
Exchange regulations and not limited to advisory or support functions.
- The candidate should have personally handled or overseen exchange/SEBI compliance
regulatory inspections or audits implementation of SEBI circulars KYC and AML/PMLA
compliance regulatory reporting risk management margins surveillance client fund
segregation and statutory or regulatory audit submissions. - Must satisfy SEBIs Fit &
Proper criteria with a clean regulatory financial and reputation track record.
Key Responsibilities:
Regulatory & Licensing
- Act as Designated Director under applicable SEBI regulations.
- Lead and support SEBI registration and exchange membership processes.
- Represent the company before SEBI Stock Exchanges Depositories and
Clearing Corporations. - Handle regulatory inspections audits observations
and show-cause notices.
Compliance & Governance
- Oversee adherence to SEBI Acts Regulations Exchange by-laws AML/PMLA KYC and
investor protection norms. - Approve and monitor compliance policies SOPs risk
frameworks and internal controls.
- Ensure timely regulatory filings capital adequacy compliance and audit submissions.
- Ensure timely regulatory filings capital adequacy compliance and audit submissions.
Risk & Oversight
- Supervise risk management margin surveillance and client fund segregation.
- Act as an escalation point for serious compliance breaches and investor grievances.
- Provide regulatory guidance at Board level.
NISM Certification Requirement
- NISM-Series VII: Securities Operations and Risk Management (SORM) Mandatory for
appointment as Designated Director of a Stock Broker.
- Certification must be valid at the time of appointment or obtained within timelines prescribed by
SEBI / Stock Exchanges.
Knowledge & Competency (Must Have)
- Strong working knowledge of SEBI regulations applicable to intermediaries.
- Practical understanding of exchange compliance audits and regulatory reporting.
- Ability to interact confidently and independently with regulators and auditors.
Not Eligible
- Pure auditors lawyers or accountants without SEBI intermediary exposure.
- Nominee or name-lending directors.
- Candidates without hands-on regulatory experience in securities markets.
- Supervise risk management margin surveillance and client fund segregation.
- Act as an escalation point for serious compliance breaches and investor grievances.
- Provide regulatory guidance at Board level.
NISM Certification Requirement
- NISM-Series VII: Securities Operations and Risk Management (SORM) Mandatory for
appointment as Designated Director of a Stock Broker.
- Certification must be valid at the time of appointment or obtained within timelines prescribed by
SEBI / Stock Exchanges.
Knowledge & Competency (Must Have)
- Strong working knowledge of SEBI regulations applicable to intermediaries.
- Practical understanding of exchange compliance audits and regulatory reporting.
- Ability to interact confidently and independently with regulators and auditors.
Not Eligible
- Pure auditors lawyers or accountants without SEBI intermediary exposure.
- Nominee or name-lending directors.
- Candidates without hands-on regulatory experience in securities markets.
Key Skills
- Fundraising
- Management Experience
- Coaching
- Analysis Skills
- Strategic Planning
- Team Management
- Budgeting
- Leadership Experience
- Mentoring
- Public Speaking
- negotiation
- Supervising Experience
