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Associate Vice President

NSE

13 - 15 years

Mumbai

Posted: 30/06/2025

Job Description

 Role Description for: AVP/Chief Manager – Compliance

 

 Title

AVP/Chief Manager - Compliance

Function

Clearing Corporation Compliance

Reports to – Functionally

CRO

Reports to – Administratively

CRO

Direct Reporting From

N/A

 

I. Purpose of the role:

  1.  To ensure continuous adherence to SEBI Inspection related matters pertaining to NCL
  2. Interfacing with regulators especially SEBI in compliance related matters.
  3. Interfacing with internal departments for the purpose of collation of information for generating reports on compliance related matters, facilitating regulatory queries resolution, etc.
  4. Ensuring adherence to the timelines fixed in regulatory matters, facilitating the conduct of statutory committee meetings, preparing agendas and minutes of such committee meetings.
  5. To support handle regulatory queries within defined timelines, track delays, track non-compliance areas. Escalate the exceptions and recommend operational solutions.

II. Key Responsibilities:

About Company

The National Stock Exchange is India’s largest and most prominent financial market. It introduced a fully automated screen-based electronic trading system, bringing efficiency and transparency to capital markets. NSE operates a wide range of asset classes including equity, debt, and derivatives.

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Key Responsibility

Descriptive Parameters

1

CC Compliance activities

 

·       Timely Monthly, Yearly and Quarterly reporting to Regulator

·       Monitoring of SEBI Circulars and ensuring creation of Tasks in Compliance Dashboard

·       Timely closure of tasks on Compliance Dashboard

·       Monitoring Rules Bye Laws changes on a monthly basis in consultation with Legal Team

·       Ensuring compliance with SECC regulations and track changes and new compliance requirements

·       Monitor Policies due for review

·       Timely updating of SEBI Letters/Emails in database and ensue timely compliance and replies.

·       Display readiness for new Assignments / Projects and show  initiatives for automation of activities

 2

External/Internal Inspection/Audits

1.      Arrangements for Inspections/Audits

2.      Timely and accuracy in replies to Regulatory Inspections/Audits

3.      Maintaining database of completed and pending replies /clarification on queries

4.      Ensue monitoring compliance with the Observations within timelines and placing before Committee/Regulator and monitoring repeated non compliances.

3

Meetings

1.      Timely preparation of Agenda and minutes for Committee/Board meetings.

2.      Preparation of PPT for the meetings and upload Agenda on Dess

3.      Ensuring compliance with secretarial standards

4