150 Sebi Compliance Jobs - Page 2

Must have experience in IPO Research & Release, Financial modelling, valuation, DCF Valuation, Due diligence, Chartered accountant, merchant bankers, sebi compliance. CA or investment banking, or related advisory domain preferred. Required Candidate profile Must have experience in IPO Research & Release, Financial modelling, valuation, DCF Valuation, Due diligence, Chartered accountant, merchant bankers, sebi compliance.

As a Regulatory Compliance Officer, your primary role will involve regulatory filing with regulators, updating regulatory compliance calendar, dealing with internal and external auditors, and coordinating with other functions to collect necessary data and documents for filing purposes. Key Responsibilities: - Regulatory filing with regulators - Updating regulatory compliance calendar - Dealing with internal and external auditors - Coordinating with other functions to collect necessary data and documents for filing purpose Qualifications Required: - MBA/PGDM - Basic knowledge of SEBI compliance Please note that the job is located in Surat and the preferred gender for this position is male.,

Job Opening: Compliance & Operations Manager We are looking to hire a mid-level Compliance & Operations Manager . The candidate should have a minimum of 2 years of experience in managing compliance and operations of a PMS / AIF / Mutual Fund in India. This is an on-site role based out of our Gurgaon office (permanent work-from-home is not offered). Key Responsibilities Regulatory Compliance : Oversee the end-to-end SEBI compliance requirements of a PMS. Regulatory Filings : Timely preparation and submission of all documents to SEBI and other stakeholders such as APMI. KYC & Client Compliance : Ensure proper KYC compliance of all PMS clients and coordinate with clients for compliance requirem...

Job Summary: We are seeking a highly organized and detail-oriented Company Secretary with 1-2 years of experience to join our company and provide crucial support for corporate governance and compliance functions. The Company Secretary will manage the company's legal, regulatory, and compliance obligations, ensuring adherence to statutory requirements. Roles & Responsibilities: Regulatory Compliance: Ensure compliance with financial regulations for warrants, IPOs, preferential allotments, etc. File company annual documents with ROC or other regulatory bodies. Maintain various statutory registers of the company. Documentation Management: Oversee end-to-end documentation processes, including cr...

Partner reconciliation which involves per loan wise principal & income matching Coordination with the partner accounts team for timely reconciliation Liaising with auditors for the quarterly and annual audit, bankers and statutory auditors Required Candidate profile Regulatory&statutory compliance of SEBI/RBI®ulatory bodie Track investments to ensure they meet the internal rate of expect return Monitor income earned&the cost incurred month-on-month with budget

Job description: Position: Investor Relations Location: BKC, Mumbai Experience: 3-5 years (mandatory) Industry: Listed companies in the BFSI sector Key Responsibilities: Manage communication with investors, analysts, and stakeholders Prepare investor presentations and earnings reports Track market trends and peer performance Coordinate internal teams for accurate financial updates Organize earnings calls and investor meetings Ensure compliance with SEBI and regulatory guidelines Requirements: 3-5 years of investor relations experience Experience in a listed BFSI company (mandatory) Strong knowledge of financial reporting & capital markets Excellent communication and presentation skills If yo...

Responsibilities: Manage regulatory compliance for NSE, BSE, NSDL listings Ensure adherence to SEBI guidelines and policies Oversee back office operations for seamless execution Ensure timely submission of Annual Returns, Annual Compliance Reports

Role Overview: As a Senior Manager/AVP Compliance at a leading Financial Institution in Mumbai, your primary responsibility will be ensuring compliance with SEBI (ICDR) Regulations, SEBI (SAST) Regulations, SEBI (Delisting) Regulations, and SEBI Master Circular on Schemes. You will oversee the process for Preferential issue, Stock Exchange Compliances, and study Valuation Reports. Key Responsibilities: - Ensure adherence to SEBI Regulations, Exchange Checklist, and Guidelines. - Review valuation reports as required. - Meet deadlines outlined in the Exchange Guidance Note and SEBI Regulations. - Update the Exchange database upon share listing approval. - Respond to SEBI inquiries and submit e...

Job Description: Ensure the compliance of the provisions of the various laws applicable to the company and its group including the Companies Act, LLP Act, FEMA, SEBI IA, PMS, AIF and REIT regulations. Maintain all statutory registers, books, files, records etc for the Company and its group. Drafting and finalizing board and shareholder minutes for the Company and its group. Discharge all secretarial functions for the Company and its group. Research and drafting. Stay up-to date with the changes in relevant laws and regulations and advise the Board on their implications for the company and its group. Good interpretation skills, team player and attention to detail. Ability to handle compliance...

Innergize is looking for a smart, qualified Company Secretary (preferably also a law graduate) with around 1-3 years of experience for its Secretarial Practice. The Candidate will get an exposure of handling clients across a spectrum of industries and their applicable compliances related to Company law, FEMA, SEBI, structuring, M&A etc. Experience of drafting legal documents, agreements etc., will be an added advantage.

Require Qualified Company Secretary with 1 or 2 Years of Post Qualification Experience at our Company. Good understanding of the Companies Act, 2013, and SEBI regulations. Strong organizational skills and attention to detail. Excellent written and verbal communication skills. Proficient in MS Office Suite (Word, Excel, PowerPoint). Ability to work independently and handle multiple tasks simultaneously. Strong problem-solving and decision-making abilities. Ethical and trustworthy with the ability to handle sensitive and confidential information. Job Description : Handling Secretarial & SEBI Compliances of the Client Companies Job Profile : 1) Sound knowledge of SEBI Regulations and Companies ...

Location: Mumbai / Noida Experience: 812 Years Industry Preference: Broking / Capital Markets Joining: Early joiners preferred About the Role We are seeking an experienced Company Secretary (CS) with strong expertise in compliance, governance, and regulatory frameworks specific to the broking and financial services industry. The ideal candidate will ensure adherence to SEBI, NSE, BSE, and other regulatory requirements, while supporting strategic initiatives of the organization. Key Responsibilities Ensure compliance with Companies Act, 2013 , SEBI regulations, and other applicable laws. Manage board meetings, committee meetings, and shareholder meetings including preparation of agenda, notic...

Job Description : Objective of the role: The Accounting Manager will be responsible for overseeing comprehensive financial operations across multiple Family Office entities. This role requires a strategic professional who can manage complex financial activities, ensure regulatory compliance, and lead a high-performing finance team while supporting the family office's investment and operational objectives. Roles and responsibilities: The incumbent's roles & responsibilities will include but not limited to: Accounting Supervision: Oversee and ensure completion of all accounting activities across Family Office entities Banking Operations: Supervise and manage banking-related activities for all ...

Job Title: Compliance Officer Location: Ahmedabad Employment Type: Full-Time Company : Lakshya Asset MAnagement Pvt Ltd. About the Role: We are seeking a detail-oriented and proactive Compliance Officer to join our Asset Management Company. The candidate will be responsible for ensuring adherence to all regulatory requirements laid down by SEBI, AMFI, and other relevant authorities, while also supporting internal policies, controls, and risk management frameworks. Key Responsibilities: Regulatory Compliance: Ensure ongoing compliance with SEBI (Mutual Fund) Regulations , AMFI Guidelines, and circulars. Monitor and interpret changes in relevant laws, regulations, and guidelines applicable to ...

Role & responsibilities Ensure compliance under Companies Act, 2013 board/committee meetings, filings, registers, corporate governance. Handle FEMA & RBI compliances FDI, ODI, ECB, FC-GPR/FC-TRS, FLA, and related filings. Manage FCRA compliance foreign contributions, reporting, and disclosures. Oversee SEBI & IPO matters – LODR, PIT, listing compliances, disclosures, IPO documentation, coordination with SEBI/Stock Exchanges. Liaise with regulators – MCA, SEBI, RBI, MHA, Stock Exchanges, Depositories. Conduct compliance audits, due diligence, and risk management . Advise on corporate restructuring, fundraising, M&A, JV, foreign collaborations . Supervise junior staff and ensure smooth coordin...

Hi, Greetings from SketchHR Manpower Solutions! We are excited to share some excellent career opportunities with one of our esteemed clients, a leading stock broking firm, currently looking to strengthen their Legal & Compliance team. Please find the details below: Legal & Compliance Roles - Capital Markets Location: Santacruz, Mumbai (multiple vacancies) | Chennai (2 vacancy) Open Roles: Senior Surveillance Lead (6+ years) Compliance Manager (2+ years) Surveillance Officer (3+ years) About the Company Join a reputed trading and investment firm with a strong foothold in capital markets. We are driven by innovation, growth, and client trustwhile prioritizing the highest ethical standards and ...

Role & responsibilities Projects in IT Advisory focus on the assessment and/or evaluation of IT systems and the mitigation of IT-related business risks. They are either System audit, IT reviews, Technology Risk Assessments & Gap Assessments inline with circulars issued by SEBI/RBI/IRDAI. Technical Strong experience in review of guideline defined, conducting regulatory assessments for BFSI (E.g. RBI, SEBI, IRDAI). Global guidelines knowledge which includes NIST, ISO27001, PCI-DSS, COBIT, etc. Assisting in remediating gaps on the defined guidelines for the client. Performing System Audit and conducting technology landscape review. Having worked on Information Technology Risk Assessment areas s...

Role: Company Secretary Exp: 8-15 Years Location: Delhi Role Objective: We are looking for a Qualified Company Secretary (CS) with minimum 8+ years of post-qualification experience , specifically in handling Initial Public Offering (IPO) and SEBI/ROC compliance matters . The ideal candidate will work closely with senior management and merchant bankers to manage end-to-end IPO preparation and execution, along with ongoing secretarial and corporate governance responsibilities. Key Job Role and Responsibilities: 1. Managing secretarial compliances under Companies Act, 2013 and secretarial standards such as drafting and filing of forms, returns with the Registrar of Companies, drafting of board ...

Compliance with SEBI regulations, stock exchange rules Internal Audits & Inspections Reporting & Filings Policy development & implementation Grievance Redressal Training & Awareness Surveillance & Monitoring Coordinate with regulators(NSE,BSE,SEBI)

Company Secretary for Indias Top 500 Public Listed Specialities Chemicals Producing - Andheri Job Description Preparation of Annual Reports, Drafting Directors’ Report, Report on Corporate Governance, BRSR Report and Notice of the AGM and arrangement of E-voting facility of AGM. Interacting & updating with Registrar & Transfer Agent. Coordinating with IR Agency. Coordinating for Certification of Forms, SEBI compliances Certificates, Secretarial Audit etc. Ensure handling Investors grievances & compliances with SEBI Preparation & coordinating - End to end work required for Board Meeting, AGM or EGM. Prepared and handled documentation related to Employee Stock Option Plans (ESOP), including gr...

Position: Deputy Manager Internal Audit (Indian Banking & NBFC) Location: Bengaluru ONLY IMMEDIATE JOINERS Role Highlights: Lead and execute internal audit consulting engagements for Banking & NBFC clients Requirements: CA / MBA / CIA / CISA preferred 48 years of internal audit consulting experience in Indian Banking & NBFC (mandatory) Consulting firms preferred Strong knowledge of RBI regulations Age limit - 35 Send CV to talentbridge.consult@gmail.com with Subject "IA-DM Bengaluru" NOTE ;- Please Branch Auditors, Concurrent Auditors, Statutory,IT Auditors & Global Banking auditors please don't apply

Job Description: Come join our Regulatory Division to provide high quality guidance on complex regulatory frameworks to mid to large corporate clients from diverse industries. As an integral part of our team, you will focus on rendering advisory assignments pertaining to Companies Act 2013 along with SEBI Laws & FEMA/FDI provisions etc to such clients. Indicative CTC & Growth Prospects Amongst best in Industry, Commensurate with skill set, experience and linked to meritocracy Key Responsibility Areas (KRAs) Advisory & Assistance under Companies Act 2013 Advisory and Opinions on matters related to Companies Act, 2013 Incorporating Companies, Limited Liability Partnerships, Joint Ventures, Bra...

Ensure compliance with all applicable SEBI Regulations including SEBI (LODR) Regulations, 2015, SEBI (PIT) Regulations and the Companies Act, rules, secretarial standards and other applicable laws/circulars issued by regulatory authorities. Assist in the preparation of the agenda, minutes, and resolutions for Board meetings, Annual General Meetings (AGM), postal ballot and other statutory meetings. Maintain records of the company’s statutory filings, ensuring timely submissions with regulators such as SEBI, Stock Exchanges, and Ministry of Corporate Affairs (MCA). Ensure accurate and timely reporting of related party transactions, shareholding patterns, and other disclosures as required unde...

Position Location: VP/AVP - Mumbai Deputy Manager - Jaipur Job Purpose: To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems, policies, and cross-functional collaboration. Responsibilities: Supervise investigation of alerts, suspicious trades, and breaches; ensure timely escalation to compliance, legal, or regulators, identify emerging risks in trading patterns, market behavior, or operational processes; recommend preventive measures. Developing, Testing and deployment ...

Strong drafting, communication & stakeholder management skills. Proficient in ROC filings and MCA portal usage. Familiarity with compliance management tools Role: Regulatory Affairs Compliance Department: Legal & Regulatory Full Time, Permanent