Prevention of Insider Trading

As a Compliance Officer specializing in Insider Trading Regulations, your primary responsibility will be to ensure compliance with SEBI regulations and internal codes of conduct related to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. You will be entrusted with developing, implementing, and monitoring the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Additionally, you will maintain the Structured Digital Database (SDD) as mandated under SEBI PIT Regulations and oversee trading window closures/openings. - Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. - Maintain the Structured Digital Database (SDD) as per SEBI PIT Regulations. - Monitor and manage trading window closures/openings, ensuring timely communication to designated persons. - Track and analyze trading activity of designated persons and their 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 stakeholders. - Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI). - Liaise with regulators (e.g., SEBI, stock exchanges), 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. - 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.,