20 Insider Trading Jobs

The role of Trade Surveillance Personnel at Compliance Conduct and Operational Risk division involves identifying potential instances of market abuse, specifically insider trading and market manipulation. Utilizing established surveillance systems, you will be responsible for monitoring activities in Firm and Employee accounts to ensure compliance with information barrier and restricted list policies. Your primary task will be to analyze trading and market activity for various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. This analysis includes reviewing trade surveillance alerts and documenting exceptions while escalating relevant matters to appropriate stakeholders. Additionally, you will collaborate with business and compliance teams to identify potential market misconduct and technical rule violations, interacting with regional Surveillance teams as needed. Conducting alert-based reviews to ensure adherence to laws, rules, and regulations will be a crucial aspect of your responsibilities. In this fast-paced environment, you will work alongside peers, handling multiple reports, and contributing towards process improvements. It is essential to identify key issues, risks, trends, and observations for communication to management and key stakeholders. The ideal candidate for this position should hold a graduate degree and possess a minimum of 6 years of trade surveillance/product experience with exchange-traded products, information barriers, or asset management. A thorough understanding of markets, market manipulative behavior, and the ability to conduct reviews in alignment with regional rules and regulations are required. Familiarity with securities laws and regulations for identifying potential trading violations is a key competency. Experience with trade surveillance systems such as SMARTS, Actimize, or similar tools is advantageous. Proficiency in navigating and sourcing information from Bloomberg or public sources is preferred. A working knowledge of securities markets will be beneficial in fulfilling the responsibilities of this role.,

As a Trade Surveillance Analyst at Millennium Management, you will play a crucial role in ensuring compliance with regulatory requirements and maintaining the integrity of the firm's operations. You will be responsible for conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential instances of insider trading and market manipulation. By monitoring daily surveillance reports and using various tools, you will analyze alerts, escalate findings as necessary, and assist in the investigation of material non-public information (MNPI). Your role will also involve regular interaction with the business and compliance teams to provide guidance on compliance matters, as well as assisting with regulatory examinations, inquiries, and projects. You will be expected to draft and amend compliance-related policies and procedures, monitor regulatory changes and industry initiatives, and lead special projects involving multiple stakeholders within the firm. To excel in this role, you should ideally possess a Bachelor's degree in finance, Economics, or a related field, along with at least 3 years of relevant experience. Prior experience in surveillance or a related role at a regulatory authority, bank, broker, or buy-side firm would be advantageous. Knowledge of the securities and trading industry, particularly in the US financial markets, is preferred. You should also have experience working with third-party surveillance platforms and demonstrate exceptional written, analytical, and research skills. Strong attention to detail, effective communication skills, and the ability to work independently with various levels of management and staff are essential for success in this position. You must be a proactive team player with a desire to continuously learn and improve. The ability to handle multiple tasks simultaneously, identify complex problems, and evaluate options will be key to your success. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are a motivated and detail-oriented professional with a passion for compliance and a keen interest in the financial markets, we encourage you to apply for the Trade Surveillance Analyst position at Millennium Management. Join us in our mission to deliver high-quality returns to investors while upholding principles of integrity, discipline, and excellence.,

As part of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in ensuring the strength and resilience of the firm. Your expertise is vital in facilitating responsible business growth by proactively identifying new and emerging risks. With your insightful judgment, you tackle real-world challenges that impact the company, customers, and communities. The culture within Risk Management and Compliance encourages innovative thinking, challenging the norm, and striving for excellence. Joining the Compliance Conduct and Operational Risk division as an E-Communication surveillance personnel, your primary responsibility is to detect potential instances of market abuse, such as insider trading and market manipulation. Using established surveillance systems, you will monitor activities in both Firm and Employee accounts to ensure compliance with policies. Your role is pivotal in mitigating risks across markets, safeguarding the firm against reputational and financial risks, and adhering to internal policies and regulatory requirements. Your key responsibilities include reviewing applicable communications surveillance alerts and communications subject to first-level review. You will diligently identify unusual activities and potential compliance issues, collaborating with business and compliance stakeholders to escalate potential market misconduct. Additionally, conducting alert-based reviews for potential violations of laws, rules, and regulations will be part of your routine tasks. Working alongside your peers, you will handle multiple reports and engage in result-oriented activities within a fast-paced environment. Proactively identifying areas for process improvement and contributing towards enhancing operational efficiency are essential aspects of your role. Furthermore, you will be responsible for identifying key issues, risks, trends, and observations, highlighting them to management and key stakeholders. Possessing a sense of ownership and accountability, you will follow through on existing issues and cases diligently. To excel in this role, you are required to have a Bachelor's Degree or equivalent experience. A minimum of 5 years of overall experience in E-Communication/trade surveillance is essential. Your product experience with financial products, including equities, futures, and fixed income, or knowledge of information barriers and asset management is highly valuable. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules and regulations, is crucial. Strong written and verbal communication skills, organizational and analytical abilities, and attention to detail are prerequisites for this position. You should demonstrate the capacity to handle multiple tasks in a dynamic and fast-paced environment. Flexibility and adaptability to changing work processes and environments are key traits for success in this role. High attention to detail and proficiency in executing a range of relatively complex tasks and analysis are expected. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar tools is considered advantageous.,

As a Compliance Analyst at Millennium Management, you will be responsible for conducting general electronic communications and trading surveillance reviews, focusing on potential insider trading and market manipulation. Your role will involve monitoring daily surveillance reports, analyzing surveillance alerts, and escalating findings as necessary. You will also assist in investigating and handling inadvertent receipt of material non-public information (MNPI). In this position, you will interact with the business and compliance teams on a daily basis, offering advice and guidance to firm personnel on compliance matters. Additionally, you will play a key role in regulatory examinations, inquiries, investigations, and projects. Drafting and amending compliance-related policies and procedures, monitoring regulatory changes, updates, and industry-wide compliance initiatives will also be part of your responsibilities. The ideal candidate for this role should possess a Bachelor's degree in finance, Economics, or a related field, with a strong academic record. A minimum of 3 years of experience is required, with prior surveillance or related experience at a regulatory authority, bank/broker, or buy-side firm being ideal. Knowledge of the securities and trading industry, particularly US financial markets, is preferred. Experience with third-party surveillance platforms is also necessary. To excel in this role, you must have exceptional written, analytical, and research skills. You should be able to apply both quantitative and qualitative analysis effectively. Strong attention to detail, organizational skills, and effective communication skills, both verbal and written, are essential. The ability to work independently and collaboratively with all levels of management and staff is crucial. As a Compliance Analyst, you should have a desire to learn, strong communication and analytical skills, and the ability to handle multiple tasks simultaneously. Attention to detail and the capability to identify complex problems, review related information, and develop and evaluate options are key. Being a phenomenal teammate with enthusiasm for trading markets is highly valued. Proficiency in advanced computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is required for this role. If you are looking to be part of a global investment management firm committed to delivering the highest quality returns to investors while upholding principles of integrity, discipline, and excellence, this opportunity at Millennium Management may be the perfect fit for you.,

JD Key Roles & Responsibilities Compliance with: Companies Act, 2013 SEBI (LODR) Regulations / Insider Trading / Takeover Code / ICDR Filing of Disclosures, documents, returns and forms with Stock Exchanges, ROC, RBI, etc. Debenture Trustee compliances Board & Committee Meetings Drafting and finalising Notice, Agenda and Minutes of meetings Agenda items / notes and resolutions Summary of minutes Uploading documents on Meeting management application Actions / Follow-ups Actionable Items Reports Follow-ups with stakeholders for implementation / reporting of actionable items Shareholder Meetings / Postal Ballot Notice of General Meeting s/ Postal Ballot E-voting Process and Voting Results Minutes Investor Servicing Attending to Grievance Redressal (end to end) Coordination with RTA IEPF Claim / Transfer of Shares/Dividend related process SCORES / ODR platform management Advisory Conducting knowledge management sessions internally Interacting with other departments for business support and advisory Annual Report and Others Annual Report preparation / drafting Board's Report / Notice / Corporate Governance Report Coordination with stakeholders (MCA, IEPF, SEBI, Stock Exchanges, Depositories, RTA, etc.) Data collation Fund raising ESOP / SARs Allotment of ESOP Shares Corporate Action Listing process ESOP / SARs disclosures Review / monitoring MIS Inspection by Regulatory Authorities (including Reserve Bank of India): Providing data promptly Coordination for Audit / providing data - Secretarial / Statutory Collation of data / documents Sharing data / documents through FTP, etc.

You will be joining Millennium Management, a global investment management firm established in 1989 with assets under management totaling approximately $74 billion. With over 2,300 employees worldwide and offices in the United States, Europe, and Asia, our core mission over the past 25+ years has been to provide our investors with the highest quality returns in the alternative investment industry while upholding our principles of integrity, discipline, and excellence. Your responsibilities will include conducting general electronic communications and trading surveillance reviews, with a specific focus on identifying potential insider trading and market manipulation activities. You will be required to monitor daily surveillance reports using exception reports and various tools, review surveillance alerts, perform analysis, and escalate any findings as necessary. Additionally, you will assist in investigating and managing inadvertent receipt of material non-public information (MNPI), and collaborate closely with business and compliance teams to offer guidance on compliance matters. Furthermore, you will play a key role in supporting regulatory examinations, inquiries, investigations, and projects as needed. You will also be responsible for drafting and updating compliance-related policies and procedures, staying informed about regulatory changes, updates, and industry-wide compliance initiatives, and leading special compliance projects involving multiple stakeholders from different departments. To qualify for this position, a Bachelor's degree in finance, economics, or a related field is preferred, along with a robust academic background. You should have 8-10 years of experience, ideally including prior surveillance experience at a regulatory authority, bank/broker, or buy-side firm. Knowledge of the securities and trading industry, particularly in US financial markets, is advantageous. Experience with third-party surveillance platforms, exceptional written and analytical skills, and the ability to apply quantitative and qualitative analysis are essential. Strong attention to detail, organizational skills, and effective communication abilities, both verbal and written, are also required. You should be capable of working independently and collaboratively across all levels of management and staff, possess a desire to learn, and be able to handle multiple tasks simultaneously. Moreover, you must have the ability to identify complex problems, review relevant information to develop and evaluate options, and be a strong team player with enthusiasm for trading markets. Proficiency in computer skills, including Bloomberg, MS Outlook, Word, Excel, and PowerPoint, is expected for this role.,

As a trade surveillance personnel at Compliance Conduct and Operational Risk division, you will play a crucial role in identifying potential instances of market abuse, specifically insider trading and market manipulation. Your responsibilities will include utilizing well-known surveillance systems to monitor activities in Firm and Employee accounts, ensuring compliance with information barrier and restricted list policies. The trade surveillance team's primary objective is to assess risks across markets using established surveillance programs to protect the firm from reputational and financial risks while adhering to internal policies and regulatory requirements. Your key responsibilities will involve: - Reviewing trade surveillance alerts and analyzing trading and market activity across various asset classes such as Equities, Information barriers, Fixed income, Futures/Options, and Asset management. - Documenting the review and disposition of exceptions, as well as escalating relevant matters appropriately. - Collaborating with business and compliance stakeholders to identify potential market misconduct and technical rule violations, including interaction with regional Surveillance teams. - Conducting alert-based reviews to detect potential violations of laws, rules, and regulations. - Working with peers to handle multiple reports efficiently in a fast-paced environment and identifying areas for process improvement. - Bringing key issues, risks, trends, and observations to the attention of management and key stakeholders. To be successful in this role, you should possess the following qualifications, capabilities, and skills: - A qualified graduate with a minimum of 6 years of trade surveillance/product experience involving exchange-traded products (equities, futures, and fixed income) and/or information barriers/asset management. - Knowledge of markets and potential market manipulative behavior, along with the ability to conduct reviews in compliance with regional rules and regulations. - Experience in reviewing trading activity for compliance and familiarity with securities laws and regulations to identify potential trading violations. Preferred qualifications, capabilities, and skills include: - Experience with SMARTS, Actimize, or similar trade surveillance systems. - Familiarity with navigating and sourcing information in Bloomberg and other public sources. - Working knowledge of securities markets is advantageous. Your role as a trade surveillance personnel is critical in safeguarding the firm against financial and reputational risks while ensuring compliance with regulatory requirements. Your attention to detail, analytical skills, and ability to collaborate with various stakeholders will be essential in identifying and addressing potential market misconduct effectively.,

As an E-Communication Surveillance personnel at Compliance Conduct and Operational Risk division, your primary responsibility will be to identify potential instances of market abuse, specifically insider trading and market manipulation. You will utilize established surveillance systems to monitor activities in both Firm and Employee accounts in order to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in assessing risks across markets and implementing surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Your role will involve reviewing communications surveillance alerts and communications subject to first-level review, with a focus on identifying unusual activity and potential compliance issues. Collaborating with business and compliance stakeholders to pinpoint potential market misconduct and escalate compliance issues will be key aspects of your responsibilities. Additionally, you will conduct alert-based reviews to identify potential violations of laws, rules, and regulations. Working alongside your peers, you will handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Furthermore, you will be expected to identify areas for process improvement and actively contribute towards enhancing existing processes. It is essential to proactively highlight key issues, risks, trends, and observations to management and key stakeholders. Possessing a sense of ownership and accountability, you will be responsible for following through on existing issues and cases. The ideal candidate for this role should hold a Bachelor's Degree or possess equivalent experience. A minimum of 6 years of overall experience in E-Communication/trade surveillance is required, along with product experience in financial products such as equities, futures, and fixed income, or knowledge of information barriers/asset management. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules, regulations, and policies, is crucial. Strong organizational and analytical abilities, attention to detail, and the capacity to handle multiple tasks in a fast-paced environment are essential qualities for this position. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar platforms would be advantageous. As part of the Firms Global Compliance Surveillance team, you will play a vital role in safeguarding the firm against risks and ensuring compliance with regulatory requirements.,

As a member of Risk Management and Compliance at JPMorgan Chase, you play a crucial role in maintaining the strength and resilience of the company. Your expertise is vital in facilitating responsible business growth by proactively identifying and addressing emerging risks. By leveraging your expert judgement, you tackle real-world challenges that have a direct impact on the company, its customers, and the broader communities we serve. Within the Risk Management and Compliance team, our culture encourages innovative thinking, challenges conventional practices, and strives for excellence in all endeavors. Joining the Compliance Conduct and Operational Risk division as an E-Communication Surveillance Personnel, you will be entrusted with the critical task of detecting potential instances of market abuse, particularly insider trading and market manipulation. Utilizing established surveillance systems, you will monitor activities across Firm and Employee accounts to ensure compliance with internal policies and regulatory requirements. Your role will be pivotal in mitigating reputational and financial risks, thereby safeguarding the firm's interests. Your key responsibilities will include reviewing communications surveillance alerts and communications subject to first-level review to identify unusual activities and potential compliance issues. Collaborating with business and compliance stakeholders, you will play a key role in identifying and escalating potential instances of market misconduct. By conducting alert-based reviews for potential violations of laws, rules, and regulations, you will contribute to upholding the highest standards of compliance. In this dynamic role, you will work alongside your peers to handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Your proactive approach, coupled with a strong sense of ownership and accountability, will be instrumental in addressing existing issues and cases effectively. Additionally, you will be expected to identify areas for process improvement and actively contribute to enhancing operational efficiency. To excel in this position, you should possess a Bachelor's Degree or equivalent experience, along with a minimum of 3 years of prior E-Communication/trade surveillance experience. A solid understanding of financial products, such as equities, futures, and Fixed income, as well as familiarity with information barriers and asset management, will be beneficial. Your ability to interpret market dynamics and detect potential market manipulative behavior, in alignment with regional rules and regulations, is essential. Strong written and verbal communication skills, exceptional organizational abilities, and keen attention to detail are prerequisites for this role. You should demonstrate proficiency in handling multiple tasks simultaneously and exhibit adaptability to evolving work processes and environments. Experience with surveillance systems like Smarsh Connected Archive, NICE VOISS, or similar tools will be advantageous. By joining our team, you will have the opportunity to contribute to the continuous enhancement of our risk monitoring and compliance practices. Your dedication to excellence and commitment to upholding the highest ethical standards will be instrumental in ensuring the firm's continued success in a dynamic and ever-evolving market landscape.,

WE'RE HIRING! We are looking to fill the position of Senior Surveillance Executive in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field Certifications Preferred: NISM Certification KEY RESPONSIBILITIES: Monitor and analyze trading activities to identify instances of market manipulation, insider trading, front running, and other regulatory breaches. Review alerts generated from NSE / BSE surveillance systems and internal tools. Investigate anomalies and prepare detailed reports for internal review and regulatory filings. Liaise with Exchanges and internal teams for closure of alerts and regulatory observations. Support audits and inspections related to surveillance and compliance. Assist in process improvement and documentation of surveillance procedures. SKILLS REQUIRED: In - depth knowledge of SEBI, NSE, BSE regulations. Hands on experience with surveillance systems / tools. Strong data analysis and interpretation skills. Interested candidates can share their resumes at *vidhi.bhatt@ysil.in* and *rituja.jagtap@ysil.in* with the Subject Line: Sr. Surveillance Executive.

WE'RE HIRING! We are looking to fill the position of Surveillance Officer in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field (NISM Certifications Preferred) KEY RESPONSIBILITIES: Monitor and analyze client and proprietary trades to detect suspicious patterns such as market manipulation, insider trading, or front running. Investigate alerts generated by NSE / BSE surveillance systems and internal monitoring tools. Handle regulatory communications, inspections, and ensure timely closure of observations. Prepare comprehensive reports on surveillance findings for internal and regulatory use. Enhance surveillance frameworks and offer guidance for compliance protocols. Stay updated with SEBI circulars, exchange guidelines, and industry best practices. SKILLS REQUIRED: Strong knowledge of SEBI, NSE, BSE regulations and surveillance mechanisms. Proficiency in interpreting trading data and analyzing trade behaviors. Experience with surveillance tools / platforms and regulatory reporting. Interested candidates can share their resumes at *vidhi.bhatt@ysil.in* and *rituja.jagtap@ysil.in* with the Subject Line: Surveillance Officer.

Hi, Greetings! Please find below details of the job opportunity at BSE Ltd, Mumbai. Job description: Perform daily BOD-EOD activities. Investigate abnormal activities, including manipulation, artificial trades, insider information, and social media rumors/news. Draft detailed investigation reports, analyzing trading activities and patterns in the equity derivatives, currency derivatives, and commodity derivatives segments. Comprehensive Review of KYC Processes- KYC includes Customer Identification Program (CIP), beneficial Ownership, Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD). Handling alerts such as price manipulation, anti-money laundering, suspicious transactions/ trades on exchange platforms. Analyse trading activities to identify irregularities and trends. Undertake various types of back testing and data analysis to support investigations . Attend and address complaints and queries and ensure to close within defined TAT. Identify areas for software and process improvements & update to senior officials. Undertake software Testing to identify bugs and functional gaps. Elementary knowledge or awareness of Capital, Financial, Commodity Markets and regulatory frameworks. Required Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Macros, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts replated to capital market. Candidates having elementary knowledge of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Ability to work with active team engagement. Note: Required years of experience for this profile 4 years to 14 years. Regards, Mahek shah BSE Limited.

Develop guidelines for various topics such as the company's code of conduct, compliance control standards, anti-corruption, statutory compliances, fair trade, data protection. Compliance Organization Management. Compliance Training. Tamil is Must.

Role & responsibilities We are hiring for a leading global investment bank looking for an experienced professional to join its Market Surveillance team . The role involves reviewing trading activity and communications to detect potential signs of market abuse, insider trading, and policy breaches. The ideal candidate will have a strong understanding of regulatory frameworks and hands-on experience with surveillance tools. Preferred candidate profile

Dear Candidate, Greetings!! Kindly find the Job Description for the Online Surveillance. Role and Responsibilities: Monitor & Supervise market movements, trends, patterns and initiate necessary surveillance actions (Equity, F&O, Currency, SLBM, IRF, Commodity). Supervise routine activities as per defined SOP and TAT. Verification of surveillance alerts such as market manipulation, price / volume alerts, order spoofing, front running alerts, insider trading alerts, etc. Analyse various alerts/ exception reports on trading activities/ patterns to short-list cases which require detailed analysis/ investigation and initiate action, if warranted. Process surveillance alerts, conduct preliminary analysis and escalate suspicious transitions Conduct various type of investigation to prevent / detect suspected market irregularities and initiate appropriate escalations and actions. Ensure compliance of SEBI/Regulatory frameworks, orders, and corresponding actions Attend internal and external statutory and regulatory audits and compliances. Improve operational efficiencies by process improvements, initiating business requirements, software testing and new features / functional release implementations. Coordinate with regulators for preparing / reviewing various policies and circulars, SOPs, user manuals used for various surveillance actions. In depth knowledge of Capital, Financial and Commodity Markets and various regulatory frameworks. Functioning of surveillance systems, processing of various surveillance alerts, and taking them to logic conclusion / investigation. Various applicable Regulations applicable to MIIs i.e. SAST, PIT, PFUTP, PMLA, AML, FIU, LODR, ICDR etc. Microsoft applications such as MS Windows, word, Excel, PPT etc. Technically proficient in Software's / applications used for Surveillance related activities. Preferred Skills: Possesses strong analytical and presentation skills, excellent verbal and written communication abilities, and proficient in MS Word, Excel, and PowerPoint. Knowledge on Machine Learning Websites such as Kaggle, GitHub, Coursera etc. Hands on experience for using additional software tools like Power BI, Tableau, Python, Data Analytics etc. Sound knowledge of applicable Rules / Regulations /Acts related to capital market. Candidates with strong domain of trading / surveillance in stocks markets (Equity & Derivatives) and/or Commodity markets and /or depository transactions and/or currency markets. Candidates with domain in one of more verticals viz experience from BFSI industry, Broking Firm, Foreign Broking Houses, depositories. Clearing corporations etc. will be given preference. Additional professional certification mandatory (NISM, Risk, Fraud examiner etc.) Work Experience: 4 years to 22 years. Regards, Yashashree Wagle

SCOPE OF WORK Responsible for ensuring compliance with Companies Act, SEBI Regulations, FEMA, and other statutory requirements. Key duties include managing ESOP and insider trading compliances, board/committee meeting documentation, statutory filings, audits, and regulatory reporting, including overseas subsidiaries. HERE IS WHAT YOU WILL DO Sound knowledge of Companies Act, 2013, SEBI Regulations (LODR, PIT, ESOP, Takeover Code etc.), FEMA Regulations etc. Well versed with compliances under SEBI Insider Trading Regulations (Trading Plan, Pre-clearance, Disclosures, etc.) Well versed with compliances under SEBI ESOP Regulations (Implementation of ESOP Scheme, Allotment, Corporate Action & Listing of ESOP Shares) Well versed with filing of quarterly/ event-based compliances on Stock Exchange(s) portal Preparation & filing of ROC Forms/ Returns Preparation of Notice, Agenda, Minutes of Board/ Committee Meeting Maintenance of Statutory Registers/ Records under Companies Act, 2013 Well versed with Compliances with respect to Declaration of Dividend, IEPF Matters etc. Management of Audit Files for Secretarial / Statutory/ Internal Audit Active participation in preparation & finalization of Annual Report (AGM Notice, Board Report, CGR, BRSR) Tracking regulatory changes on real time basis and with its impact assessment Hand on experience in managing compliance of overseas subsidiaries WHAT WE ARE LOOKING FOR Qualified Company Secretary with Post Qualification Experience of around 4-6 Years Preferably with experience from Listed Organisations

Hello Candidate, Greetings from Hungry Bird IT Consulting Services Pvt. Ltd. We're hiring a Company Secretary for our client who is an established manufacturing company planning for an Initial Public Offering (IPO). Location: Hyderabad Experience: 5 to 8 yrs Gender: Any Role: Company Secretary Industry Type: Manufacturing Interview Mode: Only Face to face Department: Secretarial & Legal Employment Type: Full Time, Permanent Role Category: Finance & Company Secretary Roles and Responsibilities Ensure full compliance with the Companies Act, 2013, SEBI Regulations, and other corporate laws. Manage and coordinate all aspects of the IPO process by assisting leadership and external advisors. Prepare agendas, and detailed minutes for Board, Committee, and Shareholder meetings. Handle all statutory filings with ROC, Stock Exchanges, and SEBI in a timely manner. Assist in establishing and implementing corporate governance policies required for a listed entity. Act as the central point for secretarial and compliance-related matters within the organization. Desired Candidate Profile 5-8 years of post-qualification experience as a Company Secretary. Must have at least 2 years of hands-on experience managing secretarial compliance for an already listed company. Strong knowledge of SEBI (LODR) regulations is essential. Must be a qualified member of the Institute of Company Secretaries of India (ICSI). Prior experience in an IPO is not required; candidate will learn the process with the team. (Interested candidates can share their CV to aradhana@hungrybird.in or call on 9959417171) Please furnish the below-mentioned details that would help us expedite the process. PLEASE MENTION THE RELEVANT POSITION IN THE SUBJECT LINE OF THE EMAIL. Example: RAVI, COMPANY SECRETARY, 6 YEARS, 30 DAYS NOTICE Name: Position applying for: Total experience: Notice period: Current Salary: Expected Salary: Thanks and Regards Aradhana +91 9959417171

Desired profile companies. Exposure in Secretarial matters in a large-scale listed organization having multiple group KEY ROLES & RESPONSIBILITIES: Handling Legal, Compliance, Statutory & Contractual Compliances for the company. Compliance with REIT Regulations, Insider Trading, Equity and Debt Listing Regulations, Corporate Governance framework and suggest improvements wherever required. Review of NDA, engagement letters, business contracts, MoU, financing agreement, service contracts etc. Ensuring compliance with SEBI REIT and LODR Regulations for listed equity and debt securities. Handling investor grievances in timely manner. KEY SKILLS: Excellent command over all aspects of Company Secretary and compliance matters. Experience in handling issue of debt and equity securities, IPO, Fund raising. Knowledge of Real Estate Central / State laws and regulations can be added advantage. Excellent English and presentation skills. Enthusiastic, Self-motivated and a Team leader.

Job Purpose: To ensure compliance with regulatory requirements under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. Role & responsibilities Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Maintain Structured Digital Database (SDD) as mandated under SEBI PIT Regulations. Monitor and manage the trading window closures/openings and ensure timely communication to designated persons. Track and analyze trading activity of designated persons and immediate relatives for potential insider trading risks. Collect and manage disclosures under PIT Regulations including initial, continual, and annual disclosures. Conduct training and awareness sessions on PIT regulations for designated employees and relevant stakeholders. Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI) . Liaise with regulators (e.g., SEBI, stock exchanges) and respond to queries, notices, or inspections. Investigate and report suspected breaches or violations of the insider trading policy. Coordinate with HR, IT, Legal, and business teams to ensure integrated compliance mechanisms. Maintain comprehensive documentation for audit trails and compliance reporting . Preferred candidate profile Education: Graduate/Post-Graduate in Law, CS/CAMS certification preferred. Experience: 3-7 years in compliance, legal, or regulatory roles, with hands-on experience in PIT regulations. Skills: Strong knowledge of SEBI PIT Regulations and SEBI LODR Regulations. Excellent communication and analytical skills. High ethical standards and attention to detail. Familiarity with compliance tools/software for SDD and trade monitoring. Job Location - Nariman Point, Mumbai Interested and relevant candidates can apply at astha.satam@abans.co.in

Tracking of Regulatory emails and ensuring revert has been provided to Exchange Insider Trading Regulation Approvals Advertisement approvals Regulatory Submissions - Exchanges and Depositories ================================================= Educational Qualifications: Graduate/Post Graduate Experience: 5 to 6 year experience in Broking firm Domain Knowledge: Broking Industry, SEBI Regulations NISM IIIA to be cleared mandatorily