25 Sebi Guidelines Jobs

As a Company Secretary at our organization, your role will involve: - Ensuring compliance with corporate laws including Companies Act, Listing Agreement, SEBI Guidelines, and other laws applicable to listed and unlisted companies. - Supporting all secretarial functions such as board and general meetings, preparing minutes, agenda, notices, etc. - Drafting reports, e-filing documents, and updating statutory books and registers, as well as handling all filings with MCA, ROC, SEBI, Stock Exchanges, and other related compliances. - Implementing and overseeing governance policies and procedures, including staying updated on amendments notified under SEBI, LODR, and Companies Act. - Coordinating w...

As a Manager / Sr Manager - F&A at Mumbai Corporate Office (Santacruz E) with 4+ years of experience post qualification as a Chartered Accountant, your key responsibilities will include: - Preparation of quarterly, half yearly and yearly Consolidated Annual Accounts of InvIT as per Ind AS and SEBI InvIT Guidelines. - Handling statutory auditor, internal auditors, IFC etc to provide data, resolve queries and ensuring timely completion of Audit. - Coordinating with PM to ensure the SPV standalone Financials are closed on time for InvIT Consolidation. - Reporting Related party transactions for Group and ensuring compliance as per InvIT Policy, SEBI IndAs guidelines. - Assisting in preparation o...

As a Derivative Specialist at Jhaveri Securities, your role involves executing a structured migration plan to convert Equity clients to Derivative segment. This includes relationship mapping and product pitching to effectively introduce clients to Derivative products. You will personally visit clients to deliver one-on-one or group training sessions on Derivative product usage, benefits, and risk understanding. Addressing and resolving customer queries regarding derivative products, contracts, strategies, and market behavior is a key responsibility. Key Responsibilities: - Travel to branches, franchisees, and business associate locations to promote derivative product adoption. - Train sales ...

Ensure compliances with respect to SEBI Guidelines. Monitoring changes in relevant legislation and the regulatory environment and taking appropriate action. Carrying out periodic reviews to ensure legal compliances of trading membership (like exchange compliances, SEBI compliances, Companies Act) Assisting the team in organizing, preparing agenda for and recording minutes of board meetings and general meetings.

Pay: 100,000.00 - ?120,000.00 per month Job description: Location:Delhi Experience:45 Years in Unlisted Shares / Pre-IPO / Mutual Funds Distribution Role Overview: Lead and expand the company's sales presence in the Delhi region, specifically focused on distribution and sales of unlisted shares, pre?IPO offerings, and mutual funds. Liaise between fund managers, high-net-worth clients, and institutional stakeholders. Key Responsibilities: Develop and execute regional sales strategies to drive growth in unlisted shares, pre?IPO offerings, and mutual fund distribution. Build and manage a pipeline of institutional and HNI clients through networking, referrals, and relationship management. Collab...

As a Chartered Accountant at our company located in Malviya Nagar, you will be responsible for the following key responsibilities: - Develop and execute financial strategies to ensure successful IPO preparation. - Collaborate with stakeholders to align financial goals with IPO objectives. - Ensure adherence to all statutory and regulatory requirements, including SEBI guidelines. - Coordinate with external auditors, lawyers, and investment bankers. - Prepare and review prospectus, financial statements, and other IPO-related documentation. - Oversee the accuracy of disclosures in alignment with regulatory standards. - Assist in company valuation and readiness for investor presentations. - Prov...

As a Senior Executive / Manager in Investments at our company in Ludhiana, your main responsibilities will include: - Having a strong understanding of Share trading, Mutual Funds, and Portfolio Management while ensuring compliance with SEBI guidelines. - Monitoring and overseeing daily operations concerning Investments transactions. - Building and maintaining relationships with brokers, depositories (NSDL/CDSL), and regulatory authorities. - Compiling and reviewing MIS reports on stock transactions and investments. - Managing audits associated with Investment transactions. - Identifying risks related to Investments and implementing strategies for mitigation. Qualification Required: - CA/CA I...

To ensure compliance with corporate laws including Companies Act, Listing Agreement, SEBI Guidelines and other laws applicable to listed and unlisted companies To support for all secretarial functions including board and general meetings, preparing minutes, agenda, notices etc. Drafting reports, e-filing of documents and updating statutory books and registers etc. all filings with MCA, ROC, SEBI, Stock Exchanges and other related compliances To implement and oversee governance policies and procedures including amendments notified under SEBI, LODR and companies Act from time to time. To co-ordinate with internal & external Auditors of the company. To focus on digitization of key secretarial m...

Job Description- Compliance Oversight: IT GRC Manager - Ensure that all IT operations, systems, and processes adhere to relevant regulatory requirements, including RBI/SEBI guidelines, and cybersecurity standards. Regulatory Reporting: Strong knowledge in KRI Returns, Public Facing Applications & Data Base, Tranche reporting. End to end management of Regulatory Return submissions: Assign, co-ordinate for data collection, validate and submission of Adhoc Returns, Advisories, Alerts, Circulars and Questionnaires.

As a Merchant Banker AVP in Mumbai, you will be responsible for executing capital market transactions, ensuring compliance with regulatory frameworks, and delivering high-quality services to clients. Your role will require a strong understanding of SEBI regulations, corporate laws, and the ability to oversee end-to-end project execution in investment banking. Key Responsibilities: - Conduct due diligence for capital market transactions. - Handle drafting, compliance, disclosure, and reporting requirements. - Maintain proper record keeping in accordance with SEBI and regulatory standards. - Interact with clients to ensure smooth project execution. - Perform quality checks to ensure accuracy o...

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