15 Sebi Guidelines Jobs

As a Senior Manager - Technology (Regulatory Compliance) at MCX, your role will involve overseeing the technology compliance with various directives of SEBI, ensuring timely responses to all communications with the Regulator, and collaborating with team members to gather necessary information for regulatory submissions. Your responsibilities will include: - Periodic review of Technology Compliances based on SEBI directives, Acts, Rules, Regulations, and Circulars. - Acting as the primary point of contact for all communications with the Regulator, handling queries effectively. - Ensuring timely responses to all communication related to IT compliance. - Coordinating with the technology team to...

Role Overview: As a Credit Manager in Wholesale Banking based in Mumbai, you will be responsible for leading a team of credit analysts. Your main duties will include prioritizing proposals in collaboration with the business team, guiding credit analysts to produce high-quality notes and effective monitoring, vetting Credit Appraisal notes, discussing risk assessments and structuring with senior business members, assisting in formulating credit recommendations, closely monitoring portfolios, and developing action plans for non-compliances and early warning signals. Additionally, you will meet clients regularly to stay updated, network within the bank, and seek reference checks from other bank...

1.Conduct information security management reviews and information security management system (ISMS) assessments 2.Must have knowledge of various compliances like ISO 27001, SOC 2, PCI DSS, GDPR etc. 3.Ensure technical implementation and business processes are aligned 4.Lead the design, implementation, operation and maintenance security management systems 5.Participate in the creation, review and update of information security policies 6.Provide complex technical advice, recommendations and consultancy on networks, infrastructure, products and services supplied 7.Provide or assist with implementation documentation Ongoing project management 8. Must be ISO 27001 LA certified

As the Chief Information Security Officer (CISO) at Lakshya Asset Management Company, your role involves developing and implementing the information security framework to safeguard the digital assets, client data, and trading systems. You are expected to be a seasoned leader with expertise in cybersecurity, data protection, SEBI guidelines, RBI cybersecurity frameworks, and BFSI compliance. **Key Responsibilities:** - Formulate, implement, and maintain an enterprise-wide information security strategy aligned with business goals and regulatory obligations. - Define and enforce cybersecurity policies, standards, and procedures. - Establish a Cybersecurity Governance Framework in line with SEBI...

As an Investor Relations Account Director at Adfactors PR in Mumbai, you will lead strategic investor relations mandates for listed companies. Your responsibilities will include advising clients on financial communication, stakeholder engagement, and capital market visibility. You will be expected to manage client relationships effectively and provide guidance to teams to ensure impactful results. Additionally, you will drive the creation of presentations, reports, and communication materials tailored for analysts, investors, and regulators. To excel in this role, you should possess 8 to 12+ years of experience in investor relations, financial communications, or capital markets. A strong und...

You should have a minimum of 5-10 years of experience in Risk/Compliance/Product Governance within the BFSI, Fintech, or Ecommerce industry. Additionally, you must have a proven track record of working on at least 23 product rollouts in financial services or ecommerce businesses. It is essential to possess a strong working knowledge of RBI/IRDAI/SEBI guidelines, including experience with PAC or New Product Approval frameworks. Your skill set should include excellent documentation abilities, stakeholder management, critical thinking, and keen attention to detail. In this role, your responsibilities will include reviewing and approving new product launches. This involves ensuring regulatory co...

As an Investor Onboarding Specialist, you will be responsible for efficiently managing the end-to-end onboarding process for Retail, HNI, and NRI investors. This includes conducting thorough checks on CKYC/KRA, PAN, UBO/PEP, AML, FATCA/CRS requirements, and verifying eligibility and documentation. You will also oversee subscription workflows such as e-signatures, mandates, declarations, cut-offs, and allotment confirmations. Ensuring accurate investor profiles are maintained in the CRM/application while enforcing data privacy and access controls will be a key aspect of your role. In the Cash & Unit Operations domain, you will coordinate capital calls, subscriptions, distributions, redemption...

The Compliance Officer in Stock Broking & Depository Participant department plays a crucial role in ensuring the company's adherence to regulatory and statutory requirements set by SEBI, Stock Exchanges (NSE, BSE), Depositories (CDSL), and other governing bodies. Acting as a liaison between the organization and regulators, the Compliance Officer focuses on risk mitigation, compliance reporting, and ethical governance. Responsibilities of the Compliance Officer include: - Ensuring regulatory compliance with SEBI, NSE, BSE, CDSL, and PMLA guidelines. - Monitoring daily operations to comply with circulars and directives from regulatory bodies. - Filing periodic regulatory reports such as SEBI M...

This role is ideal for professionals with a strong background in relationship management and business development, particularly in handling NBFCs, PSUs, and other Financial Institutions. As a candidate for this position, you will be responsible for managing the Securitization Product (PTCs and DA) by developing processes, policies, and manuals for the department. Your primary focus will be on providing customer service to both internal and external stakeholders, ensuring compliance with RBI and internal regulations, and building a profitable portfolio. Additionally, you will be tasked with building relationships with various Financial Institutions, cross-selling bank products to customers, a...

As a Company Secretary at an Indian Manufacturing Conglomerate based in Bangalore, your primary responsibility will be to ensure compliance with all SEBI guidelines and agreements with the Stock Exchange. This includes drafting and vetting agreements, providing training on the compliance of the code of conduct, FCPA, and other corporate policies as required. You will be in charge of all secretarial functions, including organizing and preparing minutes, agenda, notices of meetings, handling shareholder matters, litigation, and communication. Your role will also involve drafting reports, e-filing documents, maintaining and updating all statutory books, registers, and records, as well as ensuri...

As a Legal Professional specializing in Banking and Financial Institutions with over 8 years of experience, your role will involve drafting and vetting various documents related to loans, legal notices under SARFAESI Act 2002, and other relevant legal statutes. You will be responsible for initiating legal actions for dues recovery, representing the company in various courts and tribunals, handling civil and criminal litigation, and drafting legal documents including plaints, statements, affidavits, and petitions. Your key responsibilities will include coordinating with team members, collaborating with advocates, and ensuring effective communication with the President Legal. You should be pre...

You will be responsible for leading and managing the execution of merchant banking assignments, with a primary focus on Initial Public Offerings (IPOs), Offer for Sale (OFS), and related capital market transactions. Your role will involve conducting financial due diligence, assisting in structuring issues, preparing and filing Offer Documents with regulatory authorities, and ensuring regulatory compliance in all public filings. Additionally, you will collaborate with internal teams, clients, legal advisors, auditors, and other stakeholders to facilitate smooth execution and timely delivery of projects. The ideal candidate should be a Chartered Accountant (CA) with 7-8 years of experience in ...

As a Company Secretary at an Indian Manufacturing Conglomerate in Bangalore, you will be responsible for ensuring compliance with all SEBI guidelines and agreements with the Stock Exchange. Your duties will include drafting and vetting agreements, providing training on code of conduct, FCPA, and other corporate policies, as assigned. You will oversee all secretarial functions, including Board and General meetings, handling shareholder matters, litigation, and communication. In this role, you will organize and prepare minutes, agendas, notices for meetings, draft reports, e-file documents, and maintain all statutory books, registers, and records. You will be responsible for all filings of for...

As a professional responsible for managing an AIF Fund Organisation, your primary duties will involve overseeing the set up, compliance, and reporting aspects of the fund. You will play a crucial role in assisting with the structuring, review, and execution of Transaction Documents, as well as obtaining custody letters from the Debenture Trustee. It will be your responsibility to meticulously check and advise on filing application forms, while also preparing MIS reports for Investors. In case of any errors in executed documents, you will review and rectify them efficiently. Issuing Debenture Allotment Letters and confirming IRR start dates with Investors will also be part of your daily tasks...

1.Conduct information security management reviews and information security management system (ISMS) assessments 2.Must have knowledge of various compliances like ISO 27001, SOC 2, PCI DSS, GDPR etc. 3.Ensure technical implementation and business processes are aligned 4.Lead the design, implementation, operation and maintenance security management systems 5.Participate in the creation, review and update of information security policies 6.Provide complex technical advice, recommendations and consultancy on networks, infrastructure, products and services supplied 7.Provide or assist with implementation documentation Ongoing project management 8. Must be ISO 27001 LA certified