SEBI Compliance Expert

Job Responsibilities:

• Implement and monitor compliance with SEBI regulations.

• Administer code of conduct under PIT Regulations.

• Maintain Restricted List and Structured Digital Database.

• Prevent misuse of unpublished price-sensitive information (UPSI).

• Manage trading windows closure when UPSI is available.

• Maintain accurate compliance records.

• Report to Board, stock exchanges, and depositories.

• Handle investor grievances.

• Investigate market malpractices.

• Educate investors on securities markets.

• Ensure designated persons understand UPSI responsibilities.

• Analyze trades of designated persons.

• Conduct due diligence for pre-clearance of trades.

Key Competencies for SEBI Compliance Expert:

Technical Knowledge

Regulatory expertise and SEBI guidelines understanding, must possess Securities market knowledge and consistently remain updated with compliance changes.

Core Skills

Analytical thinking, Problem-solving ability, Attention to detail, Risk assessment skills

Communication - Clear articulation, Interpersonal skills, Report writing, Presentation abilities.

Professional Attributes - Ethical judgment, Integrity, Confidentiality, Decision-making

Management Skills - Excellent Stakeholder management skills, Ability to Disagree and have backbone.

Technical Proficiency - Compliance software knowledge, Data analytics

Adaptability - Continuous learning and being curious around the security landscape