SEBI Compliance Expert

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Prevent misuse of unpublished price-sensitive information (UPSI)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

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

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 skills.

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

Technical Proficiency - Compliance software knowledge, Data analytics.

Adaptability - Continuous learning and being curious around the security landscape.