Vacancy for Qualified CMA/CA/MBA/CS at Multi Commodity Exchange of India Limited (MCX)

1)

Role

Sr. Executive- Regulatory Compliance

Location

Mumbai

Qualification Profile

CA/CS/MBA

Experience

Minimum 2-4 Years of relevant post qualification experience

Job Responsibilities

Assessment of compliance implications of Regulatory circulars/letters and advising respective departments to comply with the various provisions and monitoring the same.

Periodic review, monitoring and updating various compliances requirement issued under various directives of Regulator given by way of Act, Rules, Regulations, Circulars and Letters.

Coordinate with other departments for obtaining periodic compliance confirmations.

During Pre and Post Regulatory inspection, assist senior officials, coordinate with other departments to obtain relevant responses, review them and prepare draft replies.

On-time submission of any queries sought by Regulator or any other directives within the prescribed timeline.

Preparation of periodic reports viz. Monthly Development Report, Annual report and adhoc reports for submission to Regulator.

Ensuring adherence to PMLA guidelines, filling of STRs and provide applicable mandatory training to exchange staff.

Preparation of draft agenda notes and to obtain ATR responses from various department on periodic basis for various committees meetings.

Providing necessary details/explanations/clarifications periodically to the external and internal auditors.

2)

Role

Assistant Manager – Inspection & Audit (Onsite)

Location

Delhi

Qualification Profile

CFA / CA / CS/ ICWA

Experience

5-8 years relevant experience Relevant experience with reputed Commodity / Stock Broker(s) and / or Stock / Commodity Exchange(s)

Job Responsibilities

Go through Inspection reports thoroughly and get clarification and details if required from Onsite Inspection teams

Verify that inspection files are properly arranged and all supporting data / documents are available in the files and send it to next level

Generate and verify Letter of Observations

Send approved Letter of Observation (LO) to members

Follow up with members for reply to LO

Verify members reply to LO and get further clarification if required from members

Prepare reply analysis based on Letter of Observation and Members reply

Prepare Agenda / Summary for approval note

Send details of actions to respective department for its implementation

Follow up with respective departments for implementation of actions

Send action letters to the members

Arrange for meeting with the member if called for personal hearing

Carrying out post inspection activities as directed by Assistant Manager/ Manager / Senior Manager / Committee

Prepare detailed  MIS as per format in timely manner

3)

Role

Sr. Executive – Membership (Members’ Compliance)

Location

Mumbai

Qualification Profile

CA/CS/ICWA/MBA

Experience

3 - 5 years or relevant experience

Job Responsibilities

To ensure Members’ Compliance for change request applications (such as change in Directors / Partners / Shareholding, processing of Networth Monitoring etc.) as per Regulator Guidelines, Exchange Rules, Bye-Laws, Business Rules and Circulars

To process / Check / Verify/ put up for approval for requests w.r.t. issuance of status reports to members / SEBI, Advertisement issued by the Members.

Processing of New Membership Requests / Transfer Of Membership / Surrender of Membership / Conversion of Membership / Change in Status and the activities required in connection thereof

Monitoring of continuous compliances by the members such as Networth / Annual Returns.

MIS Preparation (good drafting skills and knowledge of advance excel is preferred)

Awareness of Anti Money Laundering and Terrorism Finance Act 2001

Conversant with the SEBI regulations/guidelines, Exchange Rules, Bye-Laws and Business Rules of the Exchange during processing the request

4)

Role

Assistant Manager – Inspection & Audit

Location

Mumbai

Qualification Profile

Qualified Chartered Accountant / Company Secreatary

Experience

Minimum 5-7 years of relevant experience

Job Responsibilities

Process Inspection reports, Issuing Letter of Observations (LO), follow-up with Members for reply to LO, Reply analysis, seeking approval for issuance of action taken letter, Recovery of penalty, obtaining Compliance Certificate.

Preparing Agenda for Committee meetings / Circulate Agenda / Prepare Draft minutes of meeting.

Prepare / compile information / data for various MIS (Monthly/Quarterly/Annually, etc.)

Drafting Show Cause Notices and issue them to Members for violations / non-compliances

Initiate Expulsion proceedings / prepare and palace the Agenda before the ‘Relevant Authority’.

Providing Status reports to other departments and SEBI.

Co-ordinate with lawyers for appeal filed in SAT.

Preparing data for Inspection of the Exchange / resolving inspection queries.

Providing data for External and Internal audit and resolving audit queries.

Web content updates related to Inspection & Audit

Coordinating with Auditors / Regulator

Ensuring periodical submissions to the regulator

5)

Role

Senior Executive - Surveillance & Investigation

Location

Gift City (Gandhinagar) /Mumbai

Qualification Profile

CA/CS/ICWA/MBA with relevant experience 

Experience

2-3 years post-qualification experience in Equity or Commodity Market Good technical and functional knowledge will be an added advantage. Prior experience of working with preferable organizations like stock/ commodity exchanges/ clearing corporations, depositories, banks/financial institutions and/ or similar institutions.

Job Responsibilities

  Understanding and knowledge of various derivatives products.

Identification and analysis of abnormal price movements and trading patterns.

  Monitoring and analysis of various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted.

Preparation and timely submission of various periodic data/ analysis/ ad-hoc reports and complying with regulator norms and guidelines.

Preparation of MIS reports required for internal analysis and reporting

Process improvements for effective surveillance & monitoring and testing of functionalities.

Advance MS excel with Macros writing and Visual Basics will be an added advantage

Application Link: Apply

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