224 Regulatory Filings Jobs

Job Description You are a strategic thinker passionate about driving solutions in Alternatives Fund Controller. You have found the right team. As an Alternatives Fund Controller Professional within the Alternatives Fund Management team, you will define, refine, and deliver set goals for the firm. You will engage with third-party fund administrators and oversee financial operations. Your expertise will ensure smooth fund management and strategic project execution. Job Responsibilities Provide subject matter expertise to ensure smooth team operations. Onboard new funds by reviewing offering materials and setting up accounts. Review and sign off on fund NAV packages and financial statements. Ov...

As an Assistant Vice President - Product Control Prime Equities at Barclays, you will spearhead the evolution of the digital landscape, driving innovation and excellence. You will utilize cutting-edge technology to revolutionize digital offerings, ensuring unparalleled customer experiences. **Key Responsibilities:** - Develop and maintain valuation methodologies for various financial instruments, implementing appropriate valuation models based on instrument characteristics and market conditions. - Manage the valuation process for the bank's trading portfolio, including regular valuations of financial instruments and approval of valuations by colleagues. - Analyze market data to assess valuat...

Assist with AP/AR, GL postings, bank reconciliations, and statutory financial statements. Handle GST, TDS, and tax filings. Support cash flow and working capital monitoring, and coordinate with ops, supply chain, procurement, and sales teams. Required Candidate profile Experience in AP/AR, GL, compliance, and reporting. Strong Excel skills required. CA/ACCA/CIMA (full/part-qualified) preferred; manufacturing or Big Four exposure is a plus.

As the Senior Manager Secretarial at TBO, you will play a pivotal role in ensuring compliance with statutory and regulatory requirements for the company. Your responsibilities will include overseeing the companys secretarial functions, board governance, shareholder communication, and regulatory filings in compliance with the Companies Act, SEBI regulations, and other applicable laws for a listed entity. Key Responsibilities: - Coordinate and assist in the preparation of Board and Committee meetings, including agenda preparation, board packs, and minutes. - Ensure compliance with the governance framework and advise on secretarial practices. - Liaise with shareholders and regulators for smooth...

Role Overview: As the Manager, CSAR - SAS Clinical Data Reporting and Spotfire Programmer at Amgen, you will play a crucial role in supporting SAS Clinical Data Reporting and Spotfire programming activities. Your responsibilities will include creating patient data reports and dashboards, adhering to Amgen standards and best practices, using SAS for programming and Spotfire for visualization. You will collaborate effectively with other CSAR Operations staff to ensure high-quality deliverables and support system transformation projects. Additionally, you will act as a leader influencing partners and providing support for study work while also contributing as an individual contributor on variou...

As a Manager/Senior Manager - Compliance at our company located in Mumbai, you will be responsible for the following key tasks: - Maintain up-to-date knowledge of SEBI circulars and notifications relevant to depository operations. - Review and drafting of all Regulatory policies. - Drafting and review of all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc. - Monitor changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiate implementation. - Review and ensure maintaining accurate and up-to-date records of all regulatory correspondences and filings. - Track and close audit findings related to compliance matters in a timely m...

Job Description: Compliance Officer About EXPERT GLOBAL CONSULTANT www.expertglobal.in Expert Global is a SEBI registered Merchant Banker based in New Delhi. It offers services related to the financial markets such as IPO management, Business Valuation consultancy, Financial Management and Advisory, Bank Financing and other advisory/ consultancy services related to Securities Market. About the job We're looking for a skilled Compliance Officer to join our team at Expert Global Consultant in Netaji Subhash Place, Delhi! Key Responsibilities 1. Merchant Banker Compliance (Core Role) Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure. Prepare and ...

Company Description PROFES CAPITAL INSIGHTS is a prominent investment advisory firm dedicated to guiding individuals, families, and institutions in achieving their financial goals. Backed by a team of experienced investment professionals, the firm provides expert insights, comprehensive market analysis, and practical advice. PROFES CAPITAL INSIGHTS specializes in investment strategies, wealth management, and financial planning. We aim to provide every client with personalized solutions tailored to their unique financial needs. Role Description This is a full-time on-site role for a Fresher Company Secretary/Semi Qualified/ Trainee at PROFES CAPITAL INSIGHTS based in Delhi, India. The Company...

Reporting To: VP Finance & Compliance Department: Legal & Compliance Salary: 8-10LPA Location: Worli Experience: 48 years preferred (F&B/QSR/multi-city retail experience is a plus) Role Overview The Legal & Compliance Manager will oversee all legal, regulatory, and compliance activities across the company's multiple outlets and cities. This role ensures that the organization operates within the legal framework, manages risks effectively, and supports expansion through timely documentation, licensing, and adherence to statutory obligations. The role requires strong legal drafting, attention to detail, and the ability to coordinate with internal teams, external counsel, and government authorit...

As a Formulation Scientist at our company, you will be responsible for advising customers on their formulation challenges by formulating final dosage forms for customers with actual or model APIs. You will work alongside a team of Formulation Scientists and Technical Managers to translate customer formulation challenges into mechanistic-based formulation protocols, execute experiments, and report results to customers. Your role will be based in our new high-end Technical Center of Excellence in Hyderabad, India. Key Responsibilities: - Develop formulations for the regulated market, focusing on oral solid dosage forms such as Tablets, Capsules, Granules, Powders, and Pellets, demonstrating st...

The Company Overview Aon plc (NYSE: AON) is a leading global professional services firm providing a broad range of risk, retirement and health solutions. Our 50,000 colleagues in 120 countries empower results for clients by using proprietary data and analytics to deliver insights that reduce volatility and improve performance. Aon India Insurance Brokers Private Limited, licensed since 2017, is a composite insurance broker delivering insurance and reinsurance broking services to corporate clients in India. Aon India has over 500+ colleagues across nine locations in India. Website: https://www.aon.com/apac/india/default.jsp Roles & Responsibilities We are currently seeking an experienced M&A ...

The Company Overview Our 50,000 colleagues in 120 countries empower results for clients by using proprietary data and analytics to deliver insights that reduce volatility and improve performance. Aon India Insurance Brokers Private Limited, licensed since 2017, is a composite insurance broker delivering insurance and reinsurance broking services to corporate clients in India. Aon India has over 500+ colleagues across nine locations in India. Website: Roles & Responsibilities: We are currently seeking an experienced M&A Professional to join our dynamic Transaction Advisory Services team, with a specific focus on the Warranty & Indemnity & Tax Liability Insurance product. This role is integral...

Associate-Finance Experience : 1+ years For Quick response Kindly fill : Application Form location : Sector 11, CBD Belapur, Navi Mumbai, Maharashtra 400614 6 days work Interview mode : F2F in Office Job Description We are looking to hire motivated and detail-driven professionals who are interested in or have experience working in the compliance and regulatory advisory space for SEBI-regulated entities. As a Compliance Associate, you will work closely with a diverse set of clients and assist them in managing their day-to-day compliance responsibilities, regulatory filings, audits, and governance matters. Provide compliance support to clients in AIF, PMS, IA, and RA categories in line with SE...

Deputy Manager Financial Reporting (Broking+Others) Location: Gurgaon Role Overview We are looking for a qualified Chartered Accountant with expertise in accounting, compliance, and reporting to manage finance operations for three regulated entities. The role requires managing daily finance operations, reconciliations, compliance filings, audits/inspections, financial reporting, and system integrations across entities, while ensuring process automation and cost control. Key Responsibilities Daily Operations & Reconciliations ? Oversee bank, client fund, and transaction reconciliations across broking, broker- dealer, and PSP businesses. ? Coordinate with treasury and product teams to ensure t...

As part of the Corporate and Investment Bank UK Legal Entity Control team at J.P. Morgan, you will have the opportunity to build your career in the Legal Entity Control space. You will be responsible for accounting, reporting, and oversight of J.P. Morgan's UK legal entities, including the preparation of financial statements, regulatory filings, monthly close of entity books & records, analytics, currency risk management, entity-specific accounting policies, legal entity planning, forecasting, strategy initiatives, and overall legal entity maintenance. **Key Responsibilities:** - Monitor the integrity of books and records (both local and USGAAP) of the legal entity, adhering to Legal Entity ...

You should have a fair understanding of security market products such as Equity Cash, Equity Futures and Options, and Currency Derivatives. Your responsibilities will include performing both beginning of day (BOD) and end of day (EOD) activities. It is essential to complete the daily BOD activity before the market starts, ensuring that client positions and margins are set up in a timely manner without any client impact. Key Responsibilities: - Understand margin requirements for Cash and Derivatives segments including SPAN, Peak/EOD margin, and intraday margin. - Set up clients on the trading system, establish applicable broking rules based on client segments, update margins, facilitate margi...

In this role, you will be responsible for drafting legal documents, including resolutions, minutes for Board and General Meetings, notices, and other company secretarial documents. Your expertise will go beyond governance to ensure compliance management by assisting in meeting statutory requirements such as filing annual returns and maintaining statutory registers. You will also be involved in preparing and filing forms on the Ministry of Corporate Affairs (MCA) portal and maintaining secretarial records. Additionally, your role will involve conducting legal research on company law, securities law, and other relevant regulations to provide support for compliance and advisory functions. You w...

You will be joining MMB & Associates, a Chartered Accountancy firm established in 2016, headquartered in Chennai with branch offices in Hyderabad and Visakhapatnam. Our team, comprising over 25 professionals, is committed to delivering high-quality audit, tax, and advisory services, focusing on integrity and long-term value for our clients. Our service portfolio includes statutory audits, internal audits, trust audits, income tax audits, GST compliance, ROC/MCA filings, and virtual CFO services for SMEs. At MMB & Associates, our goal is to serve as a trusted advisor, offering clarity and fostering growth within our diverse client base. **Key Responsibilities:** - Conducting risk-based and pr...

Role Overview: You are ProArch's ideal candidate for the position of Finance & Billing Executive. Your role will involve strengthening the company's financial operations to support its rapid growth in the IT solutions space. As a detail-oriented finance professional with a solid background in accounting, financial operations, and compliance, you will play a crucial role in ensuring accurate financial processing, maintaining data integrity, and supporting strategic decision-making through reporting. Key Responsibilities: - Manage core finance functions such as invoicing, expense tracking, reconciliations, and financial reporting with a keen focus on accuracy. - Collaborate closely with intern...

JOB OVERVIEW: The role includes managing Board and AGM-related processes, ensuring compliance with the Companies Act and SEBI regulations including filings under Listing Regulations, SBEB, and PIT. Responsibilities also include maintaining secretarial records, supporting audits, and providing research and internal updates on regulatory developments. KEY STAKEHOLDERS: INTERNAL Treasury, Finance Accounts, Legal, Taxation, other business teams KEY STAKEHOLDERS: EXTERNAL Regulators, Shareholders, Share Transfer Agent, Support Staff of Directors EXPERIENCE: 4+ years of post qualification and post internship work experience with a Listed Company) CRITICAL QUALITIES: Strong technical knowledge in r...

About this role: Wells Fargo is seeking a Financial Reporting Analyst In this role, you will: Meet the companys regulatory, Security and Exchange Commission, and other external financial reporting requirements Lead planning and execution strategy of large, complex external financial reporting requirements Provide technical interpretation on various matters and is a key change agent in building and adopting best practices within the functional area Lead implementation of the most complex projects and initiatives impacting multiple lines of business across the enterprise Lead stakeholder development by maintaining ongoing interaction that increases their awareness, understanding, accountabilit...

Key Responsibilities: Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons / Affiliates/ Referral Partners including meeting them physically if required. Conduct regular compliance audits and assessments to identify potential risks and areas for improvement for Authorised Persons/Affiliates/ Referral Partners. Prepare and submit regulatory filings, reports, and documentation as required by SEBI. Responsible for conducting regular training to the Business development team and Authorised Persons on compliance-related matters and promoting a culture of compliance within the organization. Collaborate with internal teams to gather necessary information for comp...

Role Overview: You will be joining Rentomojo as an Analyst - Investor Relations in Bangalore, Karnataka. Your role will involve supporting IPO readiness, conducting industry research, performing valuation analysis, and assisting in the preparation of investor materials. Additionally, you will be responsible for financial modeling, monitoring industry trends, and providing actionable insights to facilitate strategic decision-making. Key Responsibilities: - Support IPO readiness through conducting secondary research on industry trends, competitive landscape, and macroeconomic indicators. - Perform valuation analysis and benchmarking against companies in a similar space and new-age tech firms. ...

Candidate with 3 to 8 yrs of PQE in PE/VC/AMCs should apply Candidates currently in Mumbai or willing to relocate to Mumbai should apply Job Description Strong experience in end-to-end PE/VC transactions, fund structuring, investment agreements and shareholder agreements Manage regulatory filings (SEBI- AIF, RBI, FATCA, CRS, etc.) Liaise with counsel, regulators, and internal teams support due diligence for investments and exits. The Successful Applicant A successful Legal professional should have: A degree in law from a recognised institution. Proven experience in PE, VC, asset management, or financial services with strong knowledge of SEBI regulations (AIF, PMS, IA). Expertise in drafting ...

As the Quality Management Systems Specialist, your role will involve initiating, reviewing, and approving various quality management systems such as Change Controls, Deviations, Investigations, CAPA, OOS, and Complaints. Additionally, you will handle Return Goods and ensure the proper functioning of the quality system by performing risk assessments as needed. Conducting regular internal audits will also be part of your responsibilities. Key Responsibilities: - Initiate, review, and approve quality management systems including Change Controls, Deviations, Investigations, CAPA, OOS, and Complaints - Handle Return Goods and perform risk assessments to ensure the proper functioning of the qualit...