71 Sebi Compliance Jobs - Page 3

Senior Role in the RTA (Registrar & Transfer Agent) Division : Location: Club House Road, Anna Salai,Chennai Full-Time | On-site Department: Registrar & Transfer Agent (RTA) We are looking for a Second in line to our EVP & CS, Registry Division to support end-to-end operations related to securities handling, investor services, and regulatory compliance. If you have a keen eye for detail, knowledge of SEBI norms, and experience in share registry functions, this is a great opportunity to grow with a dynamic team. Key Responsibilities: Assist the RTA Head in daily operations and compliance reporting Oversee share transfers, dematerialization, rematerialization, and dividend processing Handle investor grievances and ensure timely resolution Liaise with depositories (NSDL/CDSL), banks, and regulatory bodies Maintain accurate records and statutory registers Support corporate actions like bonus, rights, and split issues Requirements: Graduate/Postgraduate in Commerce, Law, or related field 5-8 years of experience in RTA operations Familiar with SEBI guidelines, Companies Act, and depository systems Prior experience with RTA software and tools is preferred Strong communication and coordination skills Preferred Candidate: Candidates with prior RTA or compliance operations experience Individuals settled in Chennai and open to a long-term opportunity Contact Details : Logetha HR - 7200198309

Handle private placement of securities, rights issues, and other corporate actions. Assist in equity fund raising and conduct due diligence processes. Draft agendas and minutes for Board, Audit, Risk Management, and shareholder meetings. Required Candidate profile Coordinate committee meetings and ensure compliance with secretarial standards. Prepare AGM notices, annual reports, and manage shareholder/investor queries.

Develop and implement effective KYC policies and procedures in line with SEBI regulatory requirements Oversee the KYC process and ensure compliance with applicable laws and regulations Review and analyze customer documentation and information to assess risk and verify the identity of customers. Conduct customer due diligence and enhanced due diligence for higher-risk customers Keep up to date with changes in regulatory requirements and implement necessary changes to the KYC process Train and educate staff on KYC policies and procedures Monitor and track the progress of KYC activities and ensure timely completion Maintain accurate and up-to-date records of KYC activities for audit and reporting purposes Collaborate with internal stakeholders, such as Compliance and Risk Management, to identify and mitigate risks associated with the KYC process Stay informed about industry best practices and continuously improve the KYC process to enhance efficiency and effectiveness. Provide guidance and support to junior team members when needed Excellent analytical and problem-solving skills Strong attention to detail and accuracy Excellent organizational and time management skills Ability to work independently and as part of a team Excellent communication and interpersonal skills Proficiency in using KYC tools and software

Job Description Corporate Governance & Compliance: Ensure compliance with the Companies Act, 2013, Securities and Exchange Board of India (SEBI) regulations, and other relevant laws and statutory requirements, particularly concerning the functioning of listed companies. Regularly update the Board and management on changes in relevant laws, regulations, and compliance obligations. Prepare, maintain, and update records as required under SEBI (LODR) regulations and other statutory provisions. Advise the Board on corporate governance practices, ensuring compliance with best practices and regulations. Oversee the management and filing of various regulatory filings such as annual returns, financial reports, and corporate announcements with the Registrar of Companies (RoC) and other authorities. Board & Shareholder Meetings: Organize and coordinate Board and Committee meetings, including scheduling, agendas, minutes, and follow-up actions. Act as the Secretary to the Board of Directors and its Committees, ensuring meetings are effectively managed and all corporate decisions are appropriately documented. Prepare and maintain minutes of meetings, resolutions, and other relevant documentation. Ensure timely filing of financial reports and disclosures with regulatory authorities and stock exchanges. Liaise with shareholders, regulators, and other stakeholders regarding the companys affairs, including disclosures and voting matters. Regulatory Compliance & Reporting: Ensure timely compliance with SEBI regulations (including the SEBI Listing Obligations and Disclosure Requirements (LODR)). Oversee filing of quarterly, half-yearly, and annual financial results, along with required disclosures to Stock Exchanges and SEBI. Assist in managing insider trading policies, ensuring compliance with the SEBI (Prohibition of Insider Trading) regulations. Handle Annual General Meetings (AGMs), Extraordinary General Meetings (EGMs), and proxy voting processes. Manage the shareholder registry, including share transfers, dividends, and corporate actions such as stock splits or mergers. Required Candidate profile/competency: Qualified Company Secretary with Extensive knowledge of Companies Act Regulations, SEBI Regulations Required 5 years' post-qualification experience in a listed company Ability of dealing and interactions with regulators, stock exchanges The experience should be in SEBI/companies Act/ filings and secretarial functions Preferably a NBFC/Financial services company Behavioural skill set: Team Player & Resourceful Self-Driven Professional Good Communication & Interpersonal Skills

Secretarial Compliance related to ROC, SEBI Compliances and other compliances. Handling Minutes and drafting of Resolution and Filling BSE compliances along with XBRL and RBI CIMS Fillings. Company Secretary under employment (KMP). Required Candidate profile Qualified Company Secretary

Regulatory & Legal Compliance - IFSCA, SEBI, SEZ, PMS, AIF AML/CFT compliance Prepare & present periodic compliance reports Support in internal audits & regulatory examinations Daily Branch Operations Awareness on legal responsibilities & compliance Required Candidate profile CS or LLB or both preferred 3 to 4 years of relevant experience in compliance or legal roles, preferably in financial services, PMS/AIF, or capital markets SEBI, IFSCA, SEZ, and AML regulations.

A leading investment fintech startup, is hiring CS + LLB for the role of Legal Assistant Manager with 2+ years of exp who will contribute to various legal, secretarial and compliance work, possess work ex. preferably in a NBFC/ Fintech Company Required Candidate profile -Expert in Companies Act, 2013, RBI, and SEBI regulations -2+ years of experience working in law firms or in-house teams in a co -Pref to candidates who worked in functions related to listed debt co.

Role & responsibilities 1) Working Knowledge of company law / SEBI compliance requirements. 2) Provide assistance in maintaining statutory records including agendas and papers for board meetings, committees, and annual general meetings for group Companies. 3) Follows instructions from the Manager and other superiors for providing company secretarial works. 4) Providing assistance in convening and servicing AGMs, take minutes, draft resolutions, and lodge required forms and annual returns with appropriate departments. 5) Other incidental works as per instruction from the seniors. Preferred candidate profile Working knowledge of Corporate and securities law and be familiar with Corporate Secretarial practices. Good computer skills with experience Good command of both spoken and written English Interview: Direct Interview only and No Online Interview Work from Office Only Job Type: Full-time: Pay: 8,500.00 - 9,000.00 per month Interested Candidates shall share your Resume by whatsapp : 93110 85557 (No Calls)

Review of Compliances applicable to Capital & Commodity intermediaries, Review of Internal Control system, Carrying out Statutory / Internal Audit, Providing advisory to Broking and Financial Services company. Required Candidate profile CA/MBA/CFA with 3 or more year exp., Candidate should have practical exposure with Broking/Financial Services Co. Knowledge of business ops, risk assessment, software will be an added advantage.

Role & responsibilities Evaluate whether audited functions (e.g., HR, Finance, Admin, IT, Compliance) effectively support business scalability, operational continuity, and customer/field responsiveness. Identify areas for cost optimization, process simplification, and performance improvement through data-driven audit execution. Ensure timely and high-quality audits with comprehensive documentation, robust control testing, and actionable reporting aligned with RBI/internal policies. Detect and escalate systemic, cross-functional, or high-risk issues based on recurring control weaknesses or process gaps. Track and validate auditee responses, action plan closures, and improvements from prior audits. Contribute to checklist updates, risk coverage enhancement, and automation/digital tool adoption. Test compliance with internal policies, RBI/SEBI guidelines, and ensure accurate reporting of any deviations. Build strategic alignment with functional stakeholders through effective engagement, observation contextualization, and collaborative problem-solving. Demonstrate audit professionalism by adhering to IIA standards, upholding ethics, and maintaining a learning mindset. Adhere to internal audit methodology, documentation standards, and quality assurance processes. Participate in continuous improvement of audit tools, checklists, and scorecards. Draft audit observations, reports, and executive summaries. Present findings to process owners and senior management. Track closure of audit issues and validate corrective actions. Preferred candidate profile Strong understanding of internal controls, risk management, and governance frameworks. Sound analytical, problem-solving, and report-writing skills. Proficiency in MS Excel, Word, PowerPoint; familiarity with audit tools and ERPs is an advantage. Excellent interpersonal and communication skills. Ability to work independently and manage multiple assignments. Exposure to NBFCs/MFIs or regulated financial services or / CIA / CISA or other relevant certifications is highly desirable. Knowledge of core corporate processes and related regulatory requirements (especially RBI/SEBI/Companies Act).

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.

•Compliances under Companies Act 2013/ SEBI / LODR /ICDR guidelines. •Ensure compliance of the provisions of Companies Act, 2013, Secretarial Standards and rules made under, SEBI (Listing Obligations and Disclosure Requirement) Regulations, 2015

Ensure compliance with statutory and regulatory requirements Prepare, organize, and maintain board & committee meeting agendas, minutes,&records Advise the board on governance best practices Liaise with regulatory bodies, external advisers, & auditor

We are seeking a results-driven Portfolio Manager to lead multi-asset investment strategies including equities, forex, ETFs, bonds, and alternative instruments. This role demands expertise in market dynamics, risk management, and delivering consistent value to HNI and institutional clients. Location- Mohali Your Future Employer: A rapidly growing fintech and investment firm, transforming global financial markets through innovation. Responsibilities: 1. Designing and managing investment portfolios across equities, forex, ETFs, bonds, and alternative assets. 2. Conducting deep market research and analysis on domestic and global economic trends to drive investment decisions. 3. Implementing comprehensive risk management frameworks including hedging, compliance, and stress testing. 4. Interfacing with clients to present strategies, insights, and performance reviews tailored to their financial goals. 5. Collaborating with cross-functional teams and mentoring analysts while contributing to the firms investment thought leadership. Requirements: 1. 7+ years of relevant experience in portfolio management 2. Deep knowledge of Indian markets, forex trading, ETFs, and bonds 3. Proficiency in Bloomberg, Reuters, TradingView, MetaTrader, or similar platforms 4. Strong grasp of SEBI, RBI, and FEMA regulations 5. CFA, FRM, or NISM Portfolio Management Certification is a plus Whats in it for you? Be part of an agile, global-thinking team at the forefront of fintech innovation, managing high-impact portfolios and shaping the future of investment. Reach Us: If you feel this opportunity is well aligned with your career progression plans, please feel free to reach me with your updated profile at vanika.arora@crescendogroup.in for a confidential discussion on role.

Location: Andheri Managing RPT compliances & SEBI LODR reporting. Proficient in IND AS, EIR, ESOP, investment valuation, FD yields, MIS, fixed assets, AR, audits, Bank & sub-ledger reconciliations, and driving process improvements via automation.

Company Overview: Buddtree Management is a multidisciplinary, cross-border advisory firm providing legal, financial, and strategic consulting services to Korean and Indian enterprises. With a strong focus on corporate transactions, regulatory compliance, and investment advisory, we operate offices in New Delhi, Mumbai, Chennai, Pune, and Seoul, serving global clients across sectors. Position Overview: We are seeking a seasoned professional, either a qualified Chartered Accountant (CA) or a licensed Advocate , with deep expertise in M&A, private equity, investment structuring, and capital market transactions . The ideal candidate will join our Mumbai office and play a lead role in advising clients on cross-border deals, regulatory strategy, and transaction execution. We offer flexible engagement options: full-time, part-time, or remote (with availability for in-person meetings when required). Key Responsibilities: Lead or support complex M&A transactions, including legal, financial, and regulatory structuring. Conduct due diligence, investment analysis, and legal review for cross-border and domestic deals. Advise on capital raising, private placements, shareholder arrangements, and exits. Prepare and review transaction documents such as term sheets, share purchase agreements, shareholder agreements, and investment memos. Ensure compliance with SEBI, FEMA, RBI, Companies Act, and other applicable regulations. Liaise with Korean and Indian stakeholders, including investors, law firms, financial institutions, and government agencies. Contribute to firm-wide thought leadership on evolving investment and regulatory trends in India. Candidate Profile: Qualified Chartered Accountant (CA) or Advocate/Lawyer with 510 years of relevant experience. Demonstrated expertise in one or more of the following: M&A, private equity, investment funds, capital markets, corporate law, securities law, FDI/FEMA advisory. Prior experience in Big 4 advisory, transaction law firm, investment bank, or PE/VC fund advisory is strongly preferred. Familiarity with Korean clients or cross-border transactions is a plus. Excellent drafting, negotiation, and communication skills in English. Strong understanding of Indian regulatory and commercial frameworks applicable to corporate transactions. Preferred Attributes Independent execution capabilities and client-handling experience. Multidisciplinary mindset with comfort working across legal, financial, and strategic domains. Commercial judgment and stakeholder management skills. Application Process To apply, please submit your resume and a short cover letter highlighting relevant transaction experience to: hr@buddtree.com Subject: Application Senior Advisor (Mumbai | M&A & Investment)

Position Overview: We are seeking a highly skilled attorney (mid-level to senior) with extensive experience in Investment Advisory, M&A, Banking, Corporate Governance, and SEBI regulations. This role is structured as a part-time, predominantly remote position with in-person attendance when required for strategic client meetings, investor presentations, or critical negotiations. The successful candidate will possess strong transactional acumen, a thorough understanding of securities laws and financial regulations, and the ability to deliver top-tier legal services to corporate and financial clients. Key Practice Areas Mergers & Acquisitions (M&A) Structuring and executing domestic and cross-border transactions, including due diligence, drafting transaction documents (SPA, SHA, JV Agreements), and coordinating closing requirements. Advising on deal-specific regulatory compliance and post-merger integration considerations. Banking & Finance Assisting clients in corporate finance, project finance, and syndicated lending transactions. Reviewing and negotiating financing documents, security creation, and compliance with relevant RBI and banking regulations. Investment Advisory & SEBI Compliance Advising Indian and foreign investors on inbound and outbound investments, FDI regulations, FEMA, and exchange control norms. Handling SEBI-related filings, assisting with collective investment schemes, AIFs, VCFs, or portfolio management structures. Staying abreast of updates in securities and capital markets regulations (LODR, ICDR, Takeover Code, etc.) and providing strategic compliance advice. Corporate Governance & General Corporate Drafting and reviewing corporate documents (articles of association, bylaws, shareholders agreements), ensuring statutory compliance under the Companies Act, 2013. Providing counsel on board resolutions, shareholder rights, and directorial responsibilities. Advising on joint ventures, collaborations, and commercial contracts, focusing on strategic partnerships and risk allocation. Key Responsibilities: Transaction Documentation & Negotiation Draft, review, and negotiate complex legal documents related to M&A, banking facilities, investment agreements, and corporate structures. Collaborate with financial advisors, accountants, and tax specialists to ensure integrated transactional advice. Regulatory & Compliance Advisory Monitor and interpret relevant guidelines issued by SEBI, RBI, the Ministry of Corporate Affairs, and other regulatory bodies. Offer strategic guidance on compliance requirements, including timely submissions, approvals, and reporting obligations. Client Engagement & Relationship Management Engage regularly with clients virtually or in person to provide strategic counsel on transactional and regulatory matters. Act as a trusted advisor, ensuring clear communication of legal risks, timelines, and recommended action plans. Due Diligence & Risk Mitigation Lead or supervise legal due diligence efforts for acquisitions, joint ventures, or financial transactions, identifying key legal risks and proposing mitigation strategies. Oversee the preparation of due diligence reports, ensuring accuracy and actionable insights for stakeholders. On-Site Representation & Negotiations Attend crucial in-person meetings, negotiations, or regulatory hearings in Mumbai or Delhi, as required. Represent the firm or its clients in high-stake investor pitches, government agency discussions, or closing ceremonies. Team Collaboration & Mentorship Depending on seniority, mentor junior associates or paralegals in corporate, finance, and investment matters. Share domain expertise with internal teams, contributing to ongoing professional development and knowledge management. Qualifications & Requirements: Education & Admission Bachelors degree in Law (LL.B.) from a recognized institution; LL.M. or specialized certifications in Corporate/Financial Law are preferred. Admission to the Bar Council of India, with the right to practice in India. Experience Mid-Level: Minimum 58 years of relevant post-qualification experience Senior: 8–12+ years, with a demonstrable record of advising on M&A, banking transactions, SEBI matters, and corporate compliance. Prior exposure to cross-border transactions, FDI, and FEMA compliance is highly desirable. Technical & Regulatory Expertise Proficiency in drafting transactional documents such as Share Purchase Agreements, Shareholders’ Agreements, Facility Agreements, and JV documentation. Solid understanding of SEBI regulations (LODR, ICDR, Takeover Code), FEMA, RBI guidelines, and Companies Act provisions. Ability to interpret complex regulatory frameworks and offer commercially sound solutions. Soft Skills & Work Ethic Outstanding communication and negotiation skills; adept at engaging with high-level stakeholders (investors, banks, regulators). Excellent organizational ability to manage multiple client matters remotely, ensuring timely delivery and high-quality output. Ethical judgment, confidentiality, and strong interpersonal skills are required to integrate seamlessly into a cross-functional team. Location & Flexibility Residing in or near Mumbai or Delhi to facilitate on-site presence when necessary. Comfortable with a part-time workload and flexible scheduling, aligning with transaction demands or urgent client needs. Work Arrangement & Compensation: Flexible Schedule : Primarily remote; physical attendance strictly for critical client meetings, negotiations, or regulatory appearances. Compensation : Competitive monthly retainer or hourly rate, commensurate with experience and billable arrangements. Evaluation : Performance is measured by client satisfaction, transaction success rates, and adherence to regulatory and ethical standards.

Role & responsibilities 1. Oversee daily operational activities, ensuring efficient back-office functioning 2. Coordinate with custodians, brokers, and internal teams for trade settlements and reconciliations 3. Maintain and update client portfolios and transaction records 4. Monitor compliance with regulatory requirements and internal policies 5. Assist in generating performance reports and operational metrics 6. Support fund accounting and NAV calculations, where applicable 7. Contribute to process improvement initiatives and system upgrades Preferred candidate profile - Bachelors degree in Finance, Business Administration, or related field - 13 years of experience in financial services or investment operations preferred - Strong understanding of financial instruments and trade lifecycle - Proficiency in MS Excel; familiarity with portfolio management systems is a plus - Detail-oriented with strong organizational and time management skills - Excellent communication and interpersonal abilities What We Offer: - A collaborative and fast-paced work environment - Opportunities for professional development and career growth - Exposure to a broad range of investment strategies and products

Job Purpose: To ensure compliance with regulatory requirements under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. Role & responsibilities Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Maintain Structured Digital Database (SDD) as mandated under SEBI PIT Regulations. Monitor and manage the trading window closures/openings and ensure timely communication to designated persons. Track and analyze trading activity of designated persons and immediate relatives for potential insider trading risks. Collect and manage disclosures under PIT Regulations including initial, continual, and annual disclosures. Conduct training and awareness sessions on PIT regulations for designated employees and relevant stakeholders. Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI) . Liaise with regulators (e.g., SEBI, stock exchanges) and respond to queries, notices, or inspections. Investigate and report suspected breaches or violations of the insider trading policy. Coordinate with HR, IT, Legal, and business teams to ensure integrated compliance mechanisms. Maintain comprehensive documentation for audit trails and compliance reporting . Preferred candidate profile Education: Graduate/Post-Graduate in Law, CS/CAMS certification preferred. Experience: 3-7 years in compliance, legal, or regulatory roles, with hands-on experience in PIT regulations. Skills: Strong knowledge of SEBI PIT Regulations and SEBI LODR Regulations. Excellent communication and analytical skills. High ethical standards and attention to detail. Familiarity with compliance tools/software for SDD and trade monitoring. Job Location - Nariman Point, Mumbai Interested and relevant candidates can apply at astha.satam@abans.co.in

Compliance Assistant Opportunity! We're seeking a highly motivated and detail-oriented PMLA individual to join our team at our Kanjurmarg location! Desired Attribute: Must have work experience in PMLA Compliance for Capital Market/Broking for more than 3 years NISM Certified for Capital Market, SORM, and Equity Derivatives Module Proficient in MS Office Word, Excel & PowerPoint Job Description: Analysing and Closing PMLA Alerts Client Screening Activities related to PMLA Suspicious Reporting of Clients to FIU Maintaining and Reporting MIS Regular Monitoring and implementing of PMLA Circulars Talking to Clients / Branches for seeking clarification Any other Surveillance & PMLA activities.

- Finalize balance sheets per accounting standards. - File quarterly returns and ensure regulatory compliance. - Manage financial statements, tax planning & audits. - Adhere to SEBI, stock exchange, & company law norms. Required Candidate profile - CA (ICAI) with 15+ yrs of experience. - Worked with listed companies. - Strong in SEBI rules, return filings & governance. - Skilled in ERP, accounting tools & modeling.