107 Sebi Compliance Jobs - Page 4

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different depa...

Job Title: Compliance Officer Location: Ahmedabad Employment Type: Full-Time 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 asset management. File mandatory regulatory ...

We are seeking Compliance Executive to support the compliance and governance framework of a SEBI-registered Investment Adviser operating via a digital/fintech platform. This role will ensure regulatory adherence, risk control, and ethical delivery of automated or advisor-assisted investment advisory services, in line with SEBI norms and fintech best practices. Ensure compliance with SEB. Implement and monitor compliance checks. Assist in drafting and maintaining Compliance Manuals and Policies. Assist in preparing for and responding to SEBI inspections and internal audits. Working knowledge of the SEBI IA Regulations, SEBI LODR, AML guidelines, and SEBI circulars applicable to RIA's

: Job Title: Company Secretary Location: Gurugram Industry: Housing Finance Experience Required: 8+ Years (Post Qualification) Team Management Experience: Required Key Responsibilities: 1. Statutory Compliance & Governance Ensure compliance with Companies Act, SEBI Regulations, RBI guidelines applicable to Housing Finance companies, and other statutory requirements. Conduct and manage Board Meetings, Annual General Meetings (AGMs), Extra-Ordinary General Meetings (EGMs), and Committee Meetings (Audit, CSR, NRC, etc.). Maintain statutory registers, records, and filings with ROC, MCA, and RBI. 2. Secretarial & Legal Documentation Draft notices, agendas, resolutions, and minutes for board and c...

Job description This is Regarding Opening with a Leading Fund Management Company as a Compliance Manager !!! Experience: 3+ years Location - Mumbai - 5 Days (WHO) Responsibilities: Will be co-ordinating with the clients of the Company for SEBI AIF/ PMS compliances. To resolve the regulatory queries of the clients To co-ordinate during Inspection/ Audit Shall assist in various group level restructuring projects as may be initiated by Company from time to time. Ensure regulatory compliances for the Company for the current as well as future regulatory projects Qualified Company Secretary with degree in LLB/ Any professional qualification preferred Experience in activities in the securities mark...

Role : Senior Associate Company Secretary Location : Guwahati, Assam Experience : 2 to 5 Years Qualification : Qualified CS Job Description : We are seeking a dedicated and detail-oriented Senior Associate – Company Secretary to join our Legal & Secretarial team. The candidate will be responsible for ensuring compliance with corporate laws and statutory requirements, managing board and shareholder meetings, and maintaining statutory records Key Responsibilities: Ensure timely compliance with Companies Act, SEBI regulations, FEMA, and other applicable corporate laws. Conduct and manage Board Meetings, Annual General Meetings, and Committee Meetings – preparation of agendas, notices, minutes, ...

Ensure compliance with Companies Act, SEBI, and other statutory regulations. Alteration or adoption of MOA & AOA. Prepare board minutes, resolutions & related documentation. Assisting in secretarial audits, due diligence & compliance reports. Required Candidate profile Qualified CS Candidate with strong knowledge of corporate laws, SEBI regulations, and governance frameworks.Knowledge of Private Limited Company is must & Compliance in Debenture Listed is additional.

Drafting of Agenda, Notices, attendance sheets, and Resolutions of Board Meetings, Committee Meetings and General Meetings and maintaining Statutory Registers Drafting of Minutes of Board Meetings, Committee Meetings and General Meetings.

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 in...

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 reporti...

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, financia...

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 Secre...

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 au...

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 com...

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 cl...

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-b...