Compliance Officer- Prevention of Insider Trading Abans Finserv

3 - 5 years

7 - 15 Lacs

Mumbai, Mumbai Suburban, Navi Mumbai

Work from Office

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under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures.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 Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI) .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

Posted 1 month ago

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Branch Head/Partner - Mehta & Mehta - Mumbai/Pune Mangalam Placement

8 - 13 years

30 - 40 Lacs

Pune, Mumbai

Work from Office

Role & responsibilities Mehta & Mehta, India's leading PCS firm with branches in 12 cities and a network of 20 partners nationwide, is currently seeking experienced Qualified CS for the roles of Branch Head/Partner in our Worli, Mumbai, and Sinhgad Road, Pune, offices. We are looking for a Company Secretary with 8-15 years of experience specifically in Company Law, SEBI Regulations, and LODR. Ensure full compliance with the Companies Act, 2013, and applicable rules. Handle all aspects of SEBI Regulations, LODR compliance, and periodic filings. Organize and manage Board and Committee meetings, including preparing agendas, minutes, and resolutions. Coordinate with stock exchanges, depositories, and regulators. Draft and review statutory documents, annual reports, and disclosures. Monitor changes in legislation and ensure the company's compliance framework is updated. Liaise with auditors, legal advisors, and internal teams on secretarial matters. Maintain statutory registers and records as required under applicable laws. Preferred candidate profile Qualified Company Secretary (CS) from ICSI. 8 to 15 years of relevant post-qualification experience. In-depth knowledge of Company Law, SEBI Regulations, and LODR. Experience in a listed company or with SEBI-related compliance is mandatory. Strong drafting, communication, and stakeholder management skills. Ability to work independently and manage multiple compliance deadlines.

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Company Secretary - From Listed Company Emkay Placement Consultants

20 - 25 years

22 - 27 Lacs

Kolkata

Work from Office

Handle Secretarial & legal matter including Maintenance of all Records , Board Meeting, AGM & EGM ,Compliances relating to SEBI,BSE ,NSE,RBI,FEMA, LODR, ROC, NSDL, Filing of various Form return & XBRL, Handling Registrar ,Shareholder ,Reply Notices. Required Candidate profile Self- driven with the attitude to work independently,Excellent Verbal & Written Communication Skills.Should have good drafting skill, and Knowledge E Filing of Various Form & Return & Legal Matters.

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