643 Sebi Jobs - Page 15

We are seeking a visionary CFO with proven IPO execution experience to lead our financial strategy and operations. The ideal candidate will bring deep expertise in financial management, and capital market readiness.

Managing compliance, Board,Shareholder Meetings, Annual E-Filing of Forms, XBRL Filing, ROC compliance, dealing with SEBI. Preparation and maintenance of all Statutory Registers and records, Minutes, Resolution, Formation of private companies, etc. Provident fund

Managing of Share records, liaising, Secretarial work related experience. Coordinate with Registrar and Share transfer statutory returns filing, Ministry of Corporate Affairs. SEBI , Compliance Preparatory work for the Pre & Post AGM Health insurance

knowledge of Companies Act, 2013 and SEBI regulations (ICDR, LODR, PIT). Proficiency in MS Office (Word, Excel, PowerPoint) for documentation and compliance reporting. Strong drafting and communication skills with attention to detail. Ability to work independently and as part of a team. Candidates with an LL.B. degree will have an added advantage.

Role & responsibilities Excellent drafting skills including drafting of agenda, resolutions, minutes, reports, agreements, etc. Ability to learn and grasp new compliance concepts and global compliances applicable to overseas clients. Strong work ethic. Adapting and flexible approach towards learning new systems and operational procedures. Ability to work under pressure and tight timelines, excellent time management and multi-tasking skills. Strong interpersonal, verbal and non-verbal communication skills. Team Player with excellent collaborative, analytical, problem solving and organisational skills. Result oriented, detail oriented, team player with ability to work effectively with minimum supervision, in a fast paced, complex and dynamic environment. Efficient MS Office skills (including MS Outlook, MS Word, MS Excel, MS PowerPoint) Preferred candidate profile

Planning, scheduling, and managing the daily workflows of all client deliverables within the team. Responsible to review/prepare of the NAVs for the client for AIF Cat III funds on daily/Monthly basis. Prepare Cash/Position/Market Value Reconciliations and resolving breaks. Notify Clients/CSMs of valid breaks. If break are due to an erroneous or missing transaction in Accounting system, then make necessary adjustments Reviewing pricing of the portfolio as per the IFSCA/SEBI guidelines and analysing the pricing exceptions if any. Reviewing the corporate actions booked in the system and ensuring that the same is correctly reflected in the books. Dividends/Interest Reconciliation with Broker reports Responsible for accruing/amortizing daily or monthly non-security related Fee accruals including management fees and financing accruals. Process non-automated transactions including OTC derivatives and their related cash movements. Effective communication with clients on daily reporting of Estimates/NAVs/Query resolutions. Booking of Capital Activities of the fund. Finalizing the month end NAV of the client and providing Investor Level Allocation reports at month-end & well versed with performance fee calculation & should understand series & equalization accounting. Providing support in preparing/ reviewing/ assisting in completing the funds with regulatory requirements per IFSCA guidelines. Providing support in Audits for funds in the preparation on financial statements. Support operations on projects related to Automations/Work migrations/Conversions etc. Support global changes in Key operating procedures and implementation. Coordinating with Internal/External Stake holders such as Securities/Trades and Pricing Team, Reporting Team, Investor Services team, Auditors, Client Service Managers and Clients. Effectively monitoring deliverables to ensure high SLA compliance within set accuracy standards. Skills Required Experience & good knowledge working in Alternative Investment Funds (Category III) & Domestic mutual funds. Well versed with valuation of various asset classes such as equity, derivative, debt, bonds, debentures & unlisted securities as per SEBI/ IFSCA guidelines. Good understanding of performance fee calculation/ series based accounting & Equalization . Educational background M.com/CA/MBA Finance/CFA Familiarity with Paxus is a major plus. Experience with general ledger accounting and, with demonstrated attention to detail and accuracy, analytical, technical, organizational, and problem solving skills. Proficiency in advanced Excel functions. Excellent communication and inter-personal skills as the role includes direct client communication. Work additional hours as needed. Team management, Performance appraisal & People growth and development

AVP - Hedge Fund Accounting Mumbai/Ahmedabad (Gift City) India Shift Timings- Based on Business Requirements The successful candidate will join the Fund Services team as an AVP Fund Accounting and will be closely working with Client Service Managers in connection with the performance of duties related to the administration of Alternative Investment Category III Funds (AIF) registered with IFSCA. Candidate should have around 9 plus years of relevant experience in the Administration of AIF’s and corresponding Accounting, valuations & NAV calculations as per SEBI & IFSCA guidelines. Good understanding of performance fee calculation based on series & equalization accounting. Reporting The position reports to VP – Hedge Fund Accounting About Apex The Apex Group is a global financial services provider with 10,000 staff across 50+ offices globally. We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making Apex who we are today and the more that we grow, the more important that becomes. Whatever your career path or specialism Apex provides a global platform to allow you to thrive. Job Specification Planning, scheduling, and managing the daily workflows of all client deliverables within the team. Responsible to review/prepare of the NAVs for the client for AIF Cat III funds on daily/Monthly basis. Prepare Cash/Position/Market Value Reconciliations and resolving breaks. Notify Clients/CSMs of valid breaks. If break are due to an erroneous or missing transaction in Accounting system, then make necessary adjustments Reviewing pricing of the portfolio as per the IFSCA/SEBI guidelines and analysing the pricing exceptions if any. Reviewing the corporate actions booked in the system and ensuring that the same is correctly reflected in the books. Dividends/Interest Reconciliation with Broker reports Responsible for accruing/amortizing daily or monthly non-security related Fee accruals including management fees and financing accruals. Process non-automated transactions including OTC derivatives and their related cash movements. Effective communication with clients on daily reporting of Estimates/NAVs/Query resolutions. Booking of Capital Activities of the fund. Finalizing the month end NAV of the client and providing Investor Level Allocation reports at month-end & well versed with performance fee calculation & should understand series & equalization accounting. Providing support in preparing/ reviewing/ assisting in completing the funds with regulatory requirements per IFSCA guidelines. Providing support in Audits for funds in the preparation on financial statements. Support operations on projects related to Automations/Work migrations/Conversions etc. Support global changes in Key operating procedures and implementation. Coordinating with Internal/External Stake holders such as Securities/Trades and Pricing Team, Reporting Team, Investor Services team, Auditors, Client Service Managers and Clients. Effectively monitoring deliverables to ensure high SLA compliance within set accuracy standards. Skills Required Experience & good knowledge working in Alternative Investment Funds (Category III) & Domestic mutual funds. Well versed with valuation of various asset classes such as equity, derivative, debt, bonds, debentures & unlisted securities as per SEBI/ IFSCA guidelines. Good understanding of performance fee calculation/ series based accounting & Equalization . Educational background M.com/CA/MBA – Finance/CFA Familiarity with Paxus is a major plus. Experience with general ledger accounting and, with demonstrated attention to detail and accuracy, analytical, technical, organizational, and problem solving skills. Proficiency in advanced Excel functions. Excellent communication and inter-personal skills as the role includes direct client communication. Work additional hours as needed. Team management, Performance appraisal & People growth and development What you will get in return: A genuinely unique opportunity to be part of an expanding large global business Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly Additional information We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences. We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet. For more information on our commitment to Corporate Social Responsibility (CSR)) please visit https://theapexgroup.com/csr-policy/

locationsBangalore - NorthPune - EastBangalore Fortune Summit time typeFull time posted onPosted 5 Days Ago job requisition idJR-0011194 About The Role Company Secretary (Legal Officer) DEPARTMENTCorporate Solutions As a member of the COSEC Team you will be expected to work in collaboration with other members of the Team, assist and support in providing administrative, compliance and regulatory services of to overseas client Companies, in accordance with applicable policies and procedures, regulatory requirements, service levels and company standards so as to satisfactorily meet client expectations. The Role: Understanding corporate and legal compliances as per jurisdiction in which client companies are located. Handling compliances and documentation under the applicable anti-money laundering regulations. Handling compliance relating to Board Meetings of overseas client companies as per applicable jurisdiction including scheduling of meeting, preparing agenda and compiling board packs and circulation of the same to directors. Handling compliances relating to annual meetings of overseas client companies. Attend Board Meetings and make notes for drafting board resolutions and minutes within applicable internal timelines and getting the same approved and signed by directors / Chairman. Updating / renewing all regulatory documents of the client companies including statutory registers, returns, registrations, licenses, certificates, insurance, etc. and filling up applications, forms and uploading / downloading of documents required for the same. Assisting the team in providing required documents for various purposes including banking and taxation requirements. Assisting in audits including internal audits and risk assessments and reviews. Maintaining and updating trackers as maintained by clients or internally and ensuring data integrity and confidentiality of internal and client information. Drafting and vetting of agreements, contracts and documents. Preparation of SOPs and training material for understanding and benefit of the team members. To provide administrative and regulatory support to Client Services Team as well as COSEC team as and when required. The Skills: Excellent drafting skills including drafting of agenda, resolutions, minutes, reports, agreements, etc. Ability to learn and grasp new compliance concepts and global compliances applicable to overseas clients. Strong work ethic. Adapting and flexible approach towards learning new systems and operational procedures. Ability to work under pressure and tight timelines, excellent time management and multi-tasking skills. Strong interpersonal, verbal and non-verbal communication skills. Team Player with excellent collaborative, analytical, problem solving and organisational skills. Result oriented, detail oriented, team player with ability to work effectively with minimum supervision, in a fast paced, complex and dynamic environment. Efficient MS Office skills (including MS Outlook, MS Word, MS Excel, MS PowerPoint) Qualifications Company Secretary;. Experience in handling compliances under Anti-Money Laundering Regulations will be an added advantage. What you will get in return: A genuinely unique opportunity to be part of an expanding large global business Exposure to all aspects of the business, cross-jurisdiction and to working with senior management directly About Apex Please visit our website DisclaimerUnsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.

Perform audits on broking operation Perform detailed audits of broking activities Ensure that broking operations adhere to relevant regulations and industry standards Verify the accuracy and integrity of financial reporting.

Preparation filing of various monthly, quarterly, half yearly annually returns of RBI Preparation of RBI Day to day compliance Good knowledge of RBI Regulatory Filings. Preference given to a candidate who have experience in Audit. Required Candidate profile CA With Good experience in RBI Regulatory Knowledge of Rbi returns like DNBS01, DNBS03, DNBS4 Etc. Proficiency in SAP. Excellent written and verbal communication skills info.aspiringmantra@gmail.com

Job Job TitleKey Account Executive - E-Commerce Company NameTitan Job TypeRegular/ Job CategoryOther DepartmentE-Commerce LocationBengaluru, Karnataka, India Titan, a leading retail company in India, is seeking a highly motivated and experienced Key Account Executive to join our E-Commerce team in Bengaluru. As a Key Account Executive, you will be responsible for managing and growing our key accounts in the E-Commerce sector. Growth Primary/ Retail Sales 1) Meeting the monthly primary/ retail sales target of designated platforms. 2) Ensuring growth in sales Value YoY by planning necessary marketing activities and understanding the category trend. 3) Preparing the monthly Inventory range plan in association with merchandiser based on ROS & New Product launch 4) Timely Co-ordination with Supply chain, CFAs and Platforms for entire order fulfilment lifecycle. 5) 95%+ of range plan is live at any time. Value Creation Debtors, Payouts & Compliance 1. No over dues for the review period -Sending Reminders to partner on overdue/outstanding. Collecting sales data for credit note working. 2. All payouts should be in the budgeted limits 3. Timely Communication to internal stakeholder & associates Customer/ Stakeholder Satisfaction Partner Management 1) Healthy working relationship with internal and external stakeholders 2) Periodic business review meet with all partners (Internal & External) 3) Listing of the new products with correct information on the platforms 4) Resolving partners disputes in coordination with internal stake holders. 5) Uploading the schemes/ discounts as per the planned schemes. Innovation New Process and Initiative 100% listing of active line on the platforms Continuous replenishment for Top Sellers for partner with a Fill rate of at least 75% 10% contribution of NP on a overall target. Work Experience Education QualificationsGraduation ExperienceMinimum 1 year experience in a consumer goods company (Fashion, Electronics, FMCG) or retailers ( Flipkart/ Myntra/Amazon/ Shoppers Stop/ Lifestyle/ DMart ) \u2013 working in a sales / operations role Skills: MS Excel and data management Written & Spoken skills stake holder management Communication skills.

This role involves the development and application of engineering practice and knowledge in the creation and assurance of products and solutions across engineering disciplines. Includes defining the fundamental concepts and properties of an engineered system or product, creatively determining a product's physical form, function and performance, and the assurance of safety, reliability, availability and maintainability. Also addresses the through life support and evolution of systems and products, via provision and support of documentation and information assets, assessment of whole lifecycle environmental impact against environmental regulations and policies, and incorporation of renewable energy sources and clean technologies into product and system design. - Grade Specific Focus on Systems Engineering and Product Design. Develops competency in own area of expertise. Shares expertise and provides guidance and support to others. Interprets clients needs. Completes own role independently or with minimum supervision. Identifies problems and relevant issues in straight forward situations and generates solutions. Contributes in teamwork and interacts with customers.

Key Responsibilities: Ensure compliance with the Companies Act, SEBI Regulations, FEMA, and other applicable corporate laws. Manage end-to-end secretarial functions across listed and unlisted group entities. Conduct Board Meetings, General Meetings, Committee Meetings, and draft notices, agendas, and minutes. Prepare and file necessary forms and returns with the Ministry of Corporate Affairs (MCA), SEBI, NSE/BSE, and RBI. Ensure timely compliance under SEBI LODR Regulations for listed entities. Coordinate with auditors for Secretarial Audit and ensure timely completion. Maintain statutory registers, records, resolutions, and minute books. Advise the Board and management on corporate governance matters and legal risks. Manage investor-related activities including share transfers, dividends, and grievance redressal. Liaison with legal counsels, regulators, and other stakeholders for secretarial and legal matters. Additional Knowledge & Technical Proficiency: Strong understanding of Corporate Governance norms and ESG Reporting Frameworks. Familiarity with FEMA Regulations, especially for companies with foreign investments. Practical experience in XBRL filings and proficiency with the MCA V3 Portal. Exposure to Secretarial Audits, Internal Audits, and legal Due Diligence processes. Comfortable working on board management tools (e.g., Convene, Diligent, BoardPro). Strong command over MS Office Suite and secretarial software (e.g., Lexcomp). Candidate Requirements: Qualified Company Secretary (ACS). 5 to 7 years of experience handling corporate secretarial functions in group companies. Mandatory experience in compliance management for listed companies. Working knowledge of SEBI, MCA, FEMA, and corporate governance frameworks. Strong communication, drafting, and coordination skills. Ability to multitask across group entities and adapt to dynamic regulatory changes.

Person should have work experience in securities law and Contract Drafting (share purchase agreements, business acquisition etc.). In securities law we are not looking for listed company compliances but transaction advisory like DRHP/IPO.

Drafting of secretarial document agreements Maintenance of statutory registers Client visits for compliance hygiene check Corporate actions such as issue transfer Discharge regular secretarial functions for clients Reports under FEMA Required Candidate profile Should have good reading and interpretation skills Should have excellent verbal and written communication Should have the ability to understand the client's requirements Redemption buy-back of shares

Dear Candidate , Turtlemint is a technology platform (www.turtlemint.com) that facilitates the consumers in their entire process of searching, decision-making and buying insurance. We help the us... Dear Candidate , Turtlemint is a technology platform (www.turtlemint.com) that facilitates the consumers in their entire process of searching, decision-making and buying insurance. We help the user make an informed decision by presenting the insurance jargon in a simplified language and letting them compare the policies to arrive at a suitable choice. In addition, we recommend our users the best products in the market that most meet their needs by giving a match score corresponding to the priorities given. If thats not sufficient, the user can always seek guidance from our advisors on chat, email or call. Effectively, we make smooth and transparent what used to be a tedious process earlier. Job Role Responsibility Ensure all compliances with Companies Act for all the Group companies Compliances with the shareholder agreements Support compliance team and business teams as necessary in compliance with IRDAI, AMFI, SEBI regulations Support business teams, compliance teams in managing business contracts Support in future fund raising efforts related compliance work Key Requirements Qualified CS and qualified Law graduate is a must Experience in a listed company will be a bonus About 6-10 year s experience Excellent Communication Skills with a Strong Personality Ability to work independently High attention to detail Passionate towards assisting various teams PAN India Submit Your Application You have successfully applied You have errors in applying Social Network and Web Links Provide us with links to see some of your work (Git/ Dribble/ Behance/ Pinterest/ Blog/ Medium)

Responsibilities: * Maintain statutory records & filings with Companies Act & SEBI * Prepare board meetings, AGMs & EGMs * Ensure corporate governance compliance * Manage listing agreement requirements

Job Title: Equity Dealer and Relationship Manager Job Summary: We are seeking a dynamic and client-oriented Equity Dealer and Relationship Manager to join our growing team. The ideal candidate will be responsible for executing trades, managing client relationships, and ensuring all activities are in strict compliance with regulatory standards. This dual role requires a basic understanding of the equity markets, exceptional communication skills, and a commitment to providing outstanding service to our clients. Key Responsibilities: Trade Execution: Accurately and efficiently execute buy and sell orders for clients in equities, derivatives, and other financial products on behalf of the firm. Client Relationship Management: Act as the primary point of contact for a portfolio of clients. Proactively connect with clients. Provide clients with timely market updates and relevant information to support their investment decisions. Build and maintain long-term, trusting relationships with clients. Business Development: Identify opportunities to acquire new clients and grow the firm's assets under management. Promote and cross-sell Motilal Oswal's range of financial products and services, including mutual funds, PMS, and insurance. Compliance and Risk Management: Ensure all trading activities adhere to SEBI regulations and internal compliance policies. Maintain accurate records of all client interactions and transactions. Stay updated on the latest market regulations and compliance requirements. Reporting: Prepare and present regular reports on client portfolios and trading activities to the management. Qualifications and Skills: Education: Bachelor's degree in Commerce, Finance, Business Administration, or a related field (fresher can also apply). Skills: Excellent communication skills. Strong analytical and problem-solving abilities. High level of integrity and professional ethics. Ability to work effectively in a fast-paced and target-driven environment. Proficiency in MS Office Suite.

Advise on multiple regulatory matters related with Securities laws and capital markets regulations and other corporate laws like Companies Act, LODR, ICDR, SEBI Laws and Regulations etc. Advising and assisting the functional teams on key regulatory issues having legal implications, review of Show cause notices and orders passed by Committee etc. Tracking latest circulars, amendments etc and updating management about new changes particularly on SEBI laws and regulations impacting listed companies, brokers and capital markets in general. Facilitate in developing and drafting various policies and SOP as applicable, identify and provide guidance and legal support for addressing various legal issues having regulatory and business ramifications and assisting company in its representations before statutory and regulatory authorities and industry bodies and providing legal opinions. Implement effective risk management techniques and offer proactive advice on possible legal issues, communicate and negotiate with external parties (regulators, external law firms etc.), creating relations of trust and build in roads with external parties in a constructive manner for the orderly development of securities market and for adoption of best practices. Educational Qualifications: Essential - Graduate / Postgraduate in Law Good to have: CS (Company Secretary) with Law Individual must possess a minimum of 8- 10 years of experience including 3 to 5 years in managing a team, independently handling regulatory advisory role

Responsible for day to day activities related to admission of issuer companies & subsequent app in Admission Cell. Co-ordinate with RTAs/Issuer Companies/Exchanges/market participants & other Dept. Preparing various reports/MIS Required Candidate profile Min 1-6 yrs exp in capital markets in DP-Ops in MII'S Well conversant with depository operations and Dmat Account Opening & Closing Good analytical and verbal & written Communication Skills

Key Responsibilities: Ensure full compliance with the Companies Act, 2013, SEBI (LODR) Regulations, and other applicable laws and regulatory frameworks. Maintain and update statutory registers, ensure timely ROC filings, and manage compliance calendars. Act as the liaison between the Board of Directors and executive management, ensuring a seamless reporting structure. Handle stock exchange disclosures (NSE/BSE), corporate governance reports, and other regulatory submissions. Draft, review, and manage policies, contracts, board resolutions, declarations, and shareholder communication. Monitor and ensure compliance under SEBI (PIT) Regulations, including maintaining Structured Digital Database (SDD) and pre-clearance of trades. Manage SEBI SCORES portal for investor grievances and coordinate timely responses. Ensure compliance with Secretarial Standards (SS-1 & SS-2) issued by ICSI. Additional Knowledge & Technical Proficiency: Strong understanding of Corporate Governance norms and ESG Reporting Frameworks. Familiarity with FEMA Regulations, especially for companies with foreign investments. Practical experience in XBRL filings and proficiency with the MCA V3 Portal. Exposure to Secretarial Audits, Internal Audits, and legal Due Diligence processes. Comfortable working on board management tools (e.g., Convene, Diligent, BoardPro). Strong command over MS Office Suite and secretarial software (e.g., Lexcomp). Candidate Profile : Qualified Company Secretary (ICSI Member). 10-12 years of relevant experience, preferably in a listed entity. Exceptional verbal and written communication skills in English. High level of integrity, discretion, and confidentiality in handling sensitive board matters. Ability to work independently and manage multiple priorities under tight deadlines.

Experience Required : 8-12 Years Location Mumbai (Work from Office) Job Responsibilities : Handling grievances and escalations from Market participants i.e. Stock bokers, DPs, mutual funds and Investors Preparation of compliance reports and grievances reports as per SEBI requirements Preparation of MIS, addhoc reports as per management requirements Handling of internal, external and regulatory process audit and performing audit of vendor activities Monitoring of call centre/help desk team and handling escalations Managing quality check KYC verification team Training to market participants, internal teams in case of any changes to SEBI regulations and process changes Liaise with financial institutions for enabling seamless integration with the platform and addressing their queries Coordination between the various stakeholders for various developments and ensuring seamless implementation Generation of invoices, payment advices, invoice payment tracking and recovery of dues Industry: BFSI Stock Broking / Exchange Job Category: BD / Sales Job Type: Full Time Job Location: Mumbai Apply for this position Full Name * Email * Phone * Cover Letter * Upload CV/Resume * Upload CV/Resume * Allowed Type(s): .pdf, .doc, .docx By using this form you agree with the storage and handling of your data by this website. *

To Direct/ Support and Manage team members and otherwise contribute in ensuring that trading members/ stock brokers adhere to the regulatory norms by conducting onsite inspection, verification of member submission of required documents and audit reports and follows up with members for the same. Monitor and Adhere to TATs as defined in SLAs. Conduct training programs for TMs/APs/Internal Auditors and Investors. To ensure the adherence of member compliance to regulatory norms by overseeing the inspection process, recommending best practices to members, analysing trends/ patterns in non compliance to find the root cause of the problem and suggesting process improvements to enhance efficiency. To monitor the committee meetings to penalise non-compliant members and handle member/ regulator queries. Role Inspection Experience 8-12 Years Education CA / MBA Location Mumbai Management Provide support in all activities of the team. Suggest best practices w.r.t. training and development of the team and processes Selection of members for inspection visits Collate exchange data to assess risk and categorize members into different buckets. Prioritize members, and prepare quarterly inspection calendar/schedule as per selection criteria approved by Exchange/SEBI. Draft approval note and share inspection dates with respective regional inspection teams. Co-ordinate for visit date to member office and prepare the intimation letter to member. Onsite inspection/ compliance visits Conduct inspection on members site as per the inspection calendar for the quarter following a pre-approved checklist. Draft the inspection report for the member. Expand the scope of inspection beyond the pre-approved checklist after consulting manager. Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager Verify the inspection report prepared by the maker (another AM). Conduct compliance visits for new members/ brokers to acquaint them to the compliance requirements and inspection process. Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager Post inspection activities Collect feedback from members of all regions on the inspection visits conducted. Follow up through telephone/email/reminder letter for seeking reply to letter of observation issued. Escalate non-compliant members to Manager Member compliance to regulatory norms and audit Draft circulars for members for submission of required documents to adhere to regulatory norms. Prepare circulars to be sent to members informing them about new or changes in regulatory requirement Analyse the internal audit reports submitted by members to the exchange. Prepare the agenda and present the case of members defaulting on providing correct audit reports to the exchange. Analyse the annual returns, half yearly net-worth, insurance receipts submitted by member and initiate appropriate action. Send reminders via emails/ letters/ phone calls to non-complaint members. Prepare and send the penalty note for non-compliant members. Check SEBI website to know if any member has been debarred from trading and initiate action on the same. Verify the application provided by members for issuance of advertisements Prepare penalty intimation letter to member for non-compliances. Updation of compliance calendar, consolidated circular, commonly observed violations during inspections/internal audit. Process the margin trading and client funding files received from member Reply to member queries through phone calls/emails. Prepare the internal office memo for debiting member s account for non-compliances/violations observed during inspection Draft the approval note for granting permission by member to trade with another member Prepare the approval note for blocking of deposit in case of shortfall in net-worth of member. Issue NOC s to \ membership certificate and status report to other departments. Data collation and analysis for daily reports and adhoc requests Collate data to cater to the request raised by external regulators like SEBI and various internal departments within NSE. Collate and analyse data from other exchanges and internal NSE departments for Monthly Development report, Monthly Activity report, SEBI annual/ half yearly report to be sent to SEBI. Collation of data to be displayed on website as regards action initiated against member Conduct training/ awareness programs Organize/Coordinate/conduct training programs for TMs/ APs Organize/ Coordinate/ Conduct investor awareness programs. Industry: BFSI Stock Broking / Exchange Job Category: Others Job Type: Full Time Job Location: Mumbai Apply for this position Full Name * Email * Phone * Cover Letter * Upload CV/Resume * Upload CV/Resume * Allowed Type(s): .pdf, .doc, .docx By using this form you agree with the storage and handling of your data by this website. *

Job Description: Job Title: SeniorCompany Secretary Experience: 5+years Location: Surat Salary : upto13 LPA Industry :Building material industry (Listed Entity) Qualification :ICSI JOB SUMMARY: Oversee Secretarial Functions under the Companies Act, 2013 and Rules,Regulations and Guidelines made there under and other applicable Corporate Lawsincluding SEBI laws and listing regulations; Ensure proper compliance of allapplicable laws & maintain standards of corporate governance, OrganizingBOD and committee meetings, AGMs. Oversee court related matters involving Mergers/ Demergers / Capital Reduction etc. and oversee all Securities issuances /handling of existing shareholders / Interacting with Investor Advisory Firms. KEYRESPONSIBILITIES Compliances under Companies Law and Regulatorymatters Ensuring compliance under the Companys Act 2013as amended from time to time and other acts in respect of Company and itssubsidiary companies. Ensure maintenance of all records and returns asrequired under various statutes under Company Law. Keeping the Certificate of Incorporation andMemorandum and Articles of Association and copies of company forms in case ofCompany and its subsidiaries. Discharging duties of Compliance Officerincluding in terms of the Listing Agreement and SEBI Laws, Ensuring compliance ofSEBI Laws and Depositories Act including Corporate Governance as per Clause 49of the Listing Agreement. Ensure compliance with stock exchange listingnorms, SEBI guidelines, and corporate governance report. Interface with Legal team and counsels for legalcases / appeals pertaining to Mergers / Demergers, Securities issuances etc.Matters pending with SEBI / SAT, Mumbai BoardMeetings/Shareholders Meetings/AGM- S Ensure that board meetings, shareholder meetingsare held in accordance with the applicable laws Prepare and maintain minutes, statutory booksincluding registers of members, directors and secretaries; and filing of returnwith Registrar of Companies, CLB, Stock Exchanges and Government in respect ofCompany and its subsidiaries Organising the annual general meetings andcoordinating publication of the annual report. Deal with correspondence, collate informationand write reports, ensuring decisions made are communicated to the relevantcompany stakeholders; Investor Relations Coordination with Registrar and Share transferagency office ensuring proper maintenance of the register of shareholders andmonitor changes in share ownership of the company. Coordinate briefings to Investor Advisory firms General Monitor changes in relevant legislation and theregulatory environment, and take appropriate action as and when required. Develop and oversee the systems that ensure thecompany complies with all applicable codes, as well as its legal and statutoryrequirements. Responsible for ensuring that company complieswith standard financial and legal practice and maintains standards of goodcorporate governance. Team Development& Management Manage, motivate, develop team members to enablethem to perform to their potential and deliver desired results at work. looking into documentation relating to bankslike mortgage hypothecation as well as other liaising matters with banks. any other work relating to due diligence etc. Skills Required: Excellent knowledge of compliances andregulatory matters required under Company Laws & SEBI. Ability to handle team. Communication skills & presentation &documentation skills. Analytical & Problem solving skills Positive attitude Ability and Experience of handling queries fromStatutory Regulatory authorities) Mail updated resume wioth current salary: Key Skill: company secretary, ICSI, listed entity, compliance, IPO processing Posted on: 14th May, 2025 Apply for Senior Company Secretary Submit Apply Submit Resume Share with Friends (Mail) See all Jobs

Key Responsibilities: Compliance Management: Ensure compliance with the Companies Act, SEBI regulations, and other statutory requirements. Prepare and file necessary forms and documents with regulatory authorities. Corporate Governance: Assist in implementing best practices in corporate governance. Support the board in effective decision-making processes and ensure adherence to corporate policies. Board Meetings: Organize and facilitate board and committee meetings, including preparing agendas and minutes. Maintain statutory registers and records. Secretarial Services: Draft and manage resolutions, agreements, and other corporate documentation. Liaise with external stakeholders, including regulatory bodies, auditors, and legal advisors. Advisory Role: Provide guidance to management on compliance and governance issues. Stay updated on changes in laws and regulations impacting the firm. Reporting: Prepare and present reports on compliance status to management and the board. Assist in the preparation of the annual report and other disclosures. Stakeholder Communication: Manage communication with shareholders, ensuring timely dissemination of information. Address shareholder queries and concerns effectively. Key Skills : Company Secretary Statutory Law Compliance