Processing of applications pertaining to Registration, Activation, de-activation and surrender of membership. Regular maintenance processes like Change in Shareholding, Directors, Control Change, Merger, De-merger, Amalgamation. Processing of application pertaining to Registration, Cancellation of Authorized Person and its regular changes with regards to name, directors/partners, addresses. Processing of Application pertaining to allotment, shifting and cancellation of User id given to members. Record Half/Yearly compliances like Net worth, Audit Report, Annual Report, Member Insurance, NOC pertaining to Status report etc or any such compliances as required from time to time along with compliances of membership department with SEBI. SEBI Inspection, Internal Audit Compliance and any other regulatory requirement from time to time. Key Skills and Experience: Functioning of Stock Exchange and SEBI. Should have NISM Certification.

To handle day to day activities pertaining to Surveillance & investigation of Equity, Equity F&O and Currency Derivatives segment to ensure data integrity, Regulatory compliance, timely submission of Regulatory reports, ad hoc queries raised by Regulator and MIS. To analyse and evaluate the alerts from depositories, surveillance system and the scrips referred by SEBI. Checking ad hoc MIS for senior management. Computation of monthly penalties and solving queries from members with respect to quarterly shareholding disclosure of securities. Issuance of circulars - Checking and issuing circulars on website accurately and to draft circulars in order to disseminate the directions issued by SEBI. Make necessary updates in the system for debarred entities. Sending letters to the concerned member & mails to the concerned departments if the entities mentioned therein are registered with the Exchange. Evaluation and analysis of alerts - Analysis of alerts sent by surveillance, depositories or scrips referred by SEBI and preparing the closure report thereof. Handling queries, preparing reports during SEBI inspection and quarterly disclosures. Key Skills and Experience: Knowledge of Capital and Currency Market, Exchange and SEBI compliance. Knowledge of MS Excel, Business analysis tools etc. Should be able to draft letters and communicate with market participants. NISM certifications would be preferred. Exchange background would be preferred.

Experienced Graduate, MBA - Finance, Any Post Graduate with relevant certifications 2+ Years (upto 7 Years) Job Responsibilities Relationship Manager Business Development : Detailed Job description : Introduce and create market for Exchange products: New Memberships and participation in Currency Derivatives, Equity, Equity Derivatives, Cash, Futures & Options, Interest Rate Futures, Debt, and Exchange Traded Funds. Develop the database, tap and build strong relationships with Stock Broking firms, Corporates & Financial Institutions through developing mutually beneficial relationships. Develop close relationships within trade bodies and associations to attract SMEs on the platform. Provide service and support to members in registration, enablement day to day trading, operation, compliance. Resolve issues and complaints from clients and members regarding Trading operation, settlement, compliance to be resolved. Organizing seminars, trainings for Members, Investors and Dealers. Increasing Membership (Banks, Financial Institutions and Brokerages houses and intermediaries) and Listing of Corporates on the exchange will be key deliverables. Technical Skills Required: Relevant experience with broking industry, bank or exchanges. Knowledge of currency segment is must, with added knowledge of Equity and Debt desired.

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.

Postgraduate / CA / CS / CFA / MBA (Finance) Job Responsibilities Assistant Vice President - Compliance About the Role: The Assistant Vice President Compliance will play a critical role in ensuring full adherence to regulatory frameworks applicable to the Exchange. This includes proactive compliance with SEBI regulations, internal control frameworks, and various statutory obligations. The role requires strong engagement with regulatory bodies, and other stakeholders, to uphold the highest standards of integrity and governance. Key Responsibilities: Ensure full compliance with SEBI Regulations, Byelaws, and Exchange Rules and Regulations. Monitor and implement SECC Regulations, ensuring accurate filings and timely submissions. Draft and issue circulars / directives / clarifications to market participants in line with regulatory updates. Serve as a single point of contact for SEBI, statutory auditors, and other regulatory inspections. Handle internal and external audits related to compliance and regulatory affairs. Regularly review, update, and implement the Code of Conduct for employees and market participants. Ensure implementation of anti-money laundering (AML) measures and conduct periodic compliance testing. Coordinate with other departments to monitor regulatory compliance across all Exchange functions. Maintain up-to-date compliance documentation, records, and registers as mandated by SEBI and internal policy. Engage in regulatory advocacy by analyzing circulars, consulting on draft regulations, and ensuring proactive alignment. Contribute to board-level reporting, policy-making, and strategic compliance advisory. Key Skills & Competencies: In-depth knowledge of SEBI, SECC Regulations, and Exchange operations. Proven expertise in Capital Markets regulatory environment. Ability to interpret and apply legal regulatory updates to operational scenarios. Strong drafting and communication skills. Proficiency in MS Excel, compliance monitoring tools, and data analysis. Exchange/market infrastructure background preferred. High levels of integrity, discretion, and analytical thinking with a proactive compliance mindset.