SEBI Compliance Expert

8 - 12 years

16 - 20 Lacs

Gurugram Mumbai (All Areas)

Posted:6 hours ago| Platform: Naukri logo

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Work from Office

Job Type

Full Time

Job Description

Role & 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  • Prevent misuse of unpublished price-sensitive information (UPSI)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
  • Monitor trades for deviations from code of conduct
  • 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

Preferred candidate profile

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

• Company Secretary and compliance officer with Minimum 8 years of experience.

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