37 Sebi Guidelines Jobs

As a Compliance Manager based in Navi Mumbai, your role will involve ensuring compliance with various regulatory requirements such as RBI, SEBI, AML/KYC, and PMLA. You will be responsible for handling statutory compliance including ESI, PF, and labor laws. Your duties will also include implementing and monitoring internal compliance policies and SOPs, conducting audits, risk assessments, and gap analysis, as well as managing regulatory filings and inspections. Additionally, you will be tasked with training teams on compliance processes and regulatory updates, and maintaining MIS, reports, and documentation. Key Responsibilities: - Ensure compliance with regulatory requirements (RBI, SEBI, AM...

As a Chartered Accountant at our company based in Malviya Nagar, you will play a crucial role in developing and executing financial strategies to ensure successful IPO preparation. Your key responsibilities will include: - Developing and executing financial strategies to ensure successful IPO preparation. - Collaborating with stakeholders to align financial goals with IPO objectives. - Ensuring adherence to all statutory and regulatory requirements, including SEBI guidelines. - Coordinating with external auditors, lawyers, and investment bankers. - Preparing and reviewing prospectus, financial statements, and other IPO-related documentation. - Overseeing the accuracy of disclosures in alignm...

Position: Company Secretary Location: Ahmedabad Experience: 1 3 years (open to discussion based on expertise) About the Role We are seeking a qualified and dynamic Company Secretary to join our cybersecurity organization. The role involves managing corporate governance, legal compliance, and regulatory filings while aligning with the specialized requirements of the IT & cybersecurity domain. The candidate should have strong knowledge of corporate law, board processes, and a keen understanding of data protection and cybersecurity-related regulations. Key Responsibilities Ensure compliance with Companies Act, SEBI, MCA/ROC filings, and corporate governance frameworks. Draft, review, and manage...

As a Chief Technology Officer (CTO) at Solar Capital, your role will be crucial in shaping and leading the technological aspects of the company. You will play a key part in driving product innovation and establishing a secure, scalable, and regulation-compliant digital infrastructure. It is essential for you to invest 50L as a strategic commitment towards building the platform MVP and in return, gain equity and full ownership of the tech function. **Key Responsibilities:** - Lead full-stack development (Web + App) from MVP to scale - Architect and deploy various components such as Subscription & rewards engine, Wallet & green credits system, BBPS-integrated bill redemption flow, Live energy ...

Requisition Id: 1664496 As a global leader in assurance, tax, transaction and advisory services, we hire and develop the most passionate people in their field to help build a better working world. This starts with a culture that believes in giving you the training, opportunities and creative freedom. At EY, we don't just focus on who you are now, but who you can become. We believe that it's your career and It's yours to build which means potential here is limitless and we'll provide you with motivating and fulfilling experiences throughout your career to help you on the path to becoming your best professional self. The opportunity : Senior Consultant-National-Forensics-ASU - Forensics - Disc...

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

As a Senior Executive / Manager in Investments at our Ludhiana location, your role will involve the following responsibilities: - Knowledge of Share trading, Mutual Funds, and Portfolio Management in compliance with SEBI guidelines - Monitoring and managing daily operations related to Investments transactions - Liaison with brokers, depositories (NSDL/CDSL), and regulatory authorities - Preparation and review of MIS reports on stock transactions and investments - Handling audits related to Investment transactions - Risk assessment and mitigation related to Investments Qualification Required: - CA/CA Inter In addition, the company provides the following benefits: - Health insurance - Providen...

As a Senior Executive / Manager in Stock Exchange Operations, based in Ludhiana, with a salary range of 10-12 LPA, you are required to possess a CA Inter / CA qualification along with a minimum of 4-5 years of relevant experience in Stock Exchange operations. Key Responsibilities: - Share trading, investment, and portfolio management in compliance with SEBI guidelines - Monitoring and managing daily operations related to stock exchange transactions - Liaison with brokers, depositories (NSDL/CDSL), and regulatory authorities - Preparation and review of MIS reports on stock transactions and investments - Handling audits related to stock exchange transactions - Risk assessment and mitigation re...

Role Overview: As a Credit Manager in Wholesale Banking based in Mumbai, your main responsibility will be to lead a team of credit analysts. You will work on prioritizing proposals in collaboration with the business team, guiding credit analysts to produce high-quality notes, and ensuring effective monitoring. Your role will also involve vetting Credit Appraisal notes, discussing risk assessments and structuring with senior business members, formulating credit recommendations, closely monitoring portfolios, and developing action plans for non-compliances and early warning signals. Additionally, you will be expected to meet clients regularly, network within the bank, and seek reference checks...

Role & responsibilities Following are the points that outline the primary responsibilities and expectations for a Credit Operations Regional Head: Disbursement, who plays a crucial role in overseeing and optimizing credit operations within a specific geographical area. Specific duties may vary based on the bank's size and operational complexity. Strategic Leadership: Provide strategic direction and leadership for the disbursement team within the designated region, aligning activities with the bank's overall goals Credit Administration / Disbursement: Ensure Credit transaction is carried out in Compliance to sanction terms as per Internal and RBI policies within agreed SLA and Turn Around Tim...

As a Senior Manager - Technology (Regulatory Compliance) at MCX in Mumbai, your role will involve the following responsibilities: - Periodic review of Technology Compliances with various directives of SEBI given by way of Act, Rules, Regulations - Being the one point of contact for handling all communications with the Regulator effectively including queries and responses - Ensuring that all the communication related to IT compliance are responded to on time - Collaborating with designated team members to gather necessary information/data for regulatory related compliances - Ensuring timely and accurate collection of all required technology-related information from the technology team for reg...

Role Overview : The Regional Manager will be responsible for driving business development, distribution partnerships, and client acquisition . The role requires a strong understanding of capital markets, PMS & AIF products, and the HNI ecosystem. Key Responsibilities: - Develop and execute the sales strategy for PMS and AIF products within the assigned geography. - Build and manage relationships with Wealth Managers, IFAs, Private Bankers, Family Offices, and Direct HNI clients. - Conduct regular presentations, product training sessions, and investment seminars for channel partners and clients. - Identify new business opportunities, strategic alliances, and distribution networks. - Work clos...

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