1049 Sebi Jobs - Page 16

Hiring Legal Compliance Officer | 5–7 yrs exp in listed firms | Strong in SEBI, ROC, audits, board support & legal filings | LLB/CS preferred | Full-time | Based in Santacruz, Mumbai LLB / Company Secretary (CS) qualification preferred.

Kedia Corporate Advisors Pvt. Ltd. (KCAPL) is hiring Regulatory & Legal Specialists to manage SEBI, and IFSCA compliance. We have two openings : one for a Law Graduate (LLB/LLM) , and one for a Company Secretary (CS) . Key Responsibilities: Regulatory compliance for AIFs, REITs, SMREITs under SEBI & IFSCA. Prepare/review offering documents, trust deeds, IMAs . Coordinate with SEBI & IFSCA for filings & approvals. Conduct due diligence on REIT/AIF transactions. Manage corporate secretarial compliance. Track and implement regulatory changes . Assist with dispute resolution & litigation . Requirements: LLB/LLM/CS with strong legal/regulatory knowledge. Familiarity with SEBI AIF, REIT, IFSCA, tr...

About Liability Sales: The Liability Sales department focuses on the liability acquisition, assets and retail forex business for the bank. The department drives business from 2700+ branches and is responsible for sourcing of retail and corporate deposits, salary and non-salary accounts, trust accounts and forex Business with a view to increase the retail book of the bank. About the Role: The Business Development Manager (Corporate Salary) is a part of the Banks front line sales team leadership force whose primary responsibility is to get new corporate salary accounts for the bank and explore new business opportunities. They are responsible to get the BDEs productivity on accounts, for sellin...

Lead investment advisory division Create tailored investment strategies Oversee equity research &portfolios Act as SEBI PrincipalOfficer Ensure SEBI compliance Collaborate with research,tech,compliance Represent firm in webinars,seminars,client meets Required Candidate profile Postgraduate in Finance (MBA/CA/CFA) SEBI IA certified (NISM X-A & X-B) 7–10 yrs in equity research & advisory Strong in portfolio mgmt & compliance Pune-based or ready to relocate

Role & responsibilities Statutory Compliances under the Companies Act 2013, SEBI Listing (LODR) Regulations and Corporate Laws. Ensuring compliances as applicable to the other business process and functions, including managing and driving the web based compliance tool; Preparation of resolutions, notice, agenda, compliances as per secretarial standard and minutes of board and committee(s) meetings; Ensuring communication and implementation of the Board decision and policies; To assist in preparation of Annual Report conducting of general meetings / postal ballot To handle compliances under SEBI Prevention of Insider Trading Regulations and SDD Tool; Investor communication and handling of gri...

would include assistance andsupport in the following areas Equity and Debt related compliances underCompanies Act, 2013, SEBI Listing Regulations and other securities laws Trade monitoring process and compliances underSEBI (Prohibition of Insider Trading) Regulations, 2015 and other SEBIRegulations, as applicable, to listed entities Board and Committee Meetings Record maintenance and filing of e-forms/returnswith MCA and routine submissions to Stock Exchanges Documentation and Co-ordination with regulatoryagencies in connection with the Employee Stock Option Scheme Maintain accurate records and support audits ordue diligence processes

—Regulatory inspections of commodity & Stock market —Well versed with internal audits, DPaudits, special & Spot inspections, verification of data submitted by depts —Coord. & Exchange submission, sending a suitable reply to the regulatory authorities Required Candidate profile —Exchanges exp: NSE, BSE, MCX —SEBI, RBI, PMLA regulations —Surveillance & audit tools —Trading platform compliance —Data privacy & information security protocols —Compliance & exchange formats

Assist Compliance Officer in compliance duties for regulations & rules issued by SEBI Monitor the resolution of client grievances for all projects Support the Compliance Officer in monitoring the compliance of Operations Provide regular reports Required Candidate profile Understanding of compliance regulations Compliance-related duties for regulations and rules issued by SEBI under KRA Regulation, UIDAI, CCA, GSTN, or the Central Government. Contact-Ankit-8104808547

Research and briefing on updates w.r.t the developments in crypto/ Web3 space, case laws by SEBI and other relevant regulators. Assist in the Data Privacy implementation process. Performs research and analysis of routine new product related queries. Prepares correspondence related to work. Research relevant statutes, rulings and precedents to be used as a basis for answering requests for legal opinions of a routine or limited scope. Assist in the preparation of legal documents, training modules, and legal summaries. Perform general clerical duties (i.e. contract management, record keeping, opening and closing files, organizing mail, filing, preparing mailings, memorandums, etc.)

Candidate will assist in managing the annual secretarial compliances for client companies and provide support in various corporate law matters. You will work closely with the Company Secretary to ensure that all statutory obligations are met on time.

Job description Compliance SEBI(Mutual Fund) Regulations To review &update Compliance Manual Mutual Fund Reporting Anti Money Laundering rules Internal, Statutory & SEBI Auditors Preparation of Board Agenda, Committee Agenda & Minutes of the Meetings Required Candidate profile B.Com, Semi qualified CS, LLB Any course in Anti Money laundering will be an added advantage 1-3 Years of Work Experience in Mutual Fund Industry/AMC

The role requires you to handle Regulatory Compliance for the Bank's third-party products distribution business, including insurance and mutual funds. You will be responsible for ensuring compliance with regulations set by SEBI, IRDA, AMFI, and other regulatory bodies. Your core responsibilities will include overseeing compliance with regulations related to Mutual Fund & Insurance Distribution Business, disseminating action points from regulatory circulars, and ensuring timely implementation. You will review and update processes, manage correspondences with regulators, and facilitate Onsite Regulatory Inspections by SEBI and IRDA. Additionally, you will provide clarifications on compliance q...

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...

Role & responsibilities Assist in end-to-end IPO process including drafting and reviewing of DRHP, RHP, and final prospectus Coordinate with Merchant Bankers, SEBI, Auditors, Legal Advisors, and Registrar Prepare necessary documents, minutes, and resolutions for Board and Committee meetings Assist in pre-IPO restructuring activities including increase of capital, alteration of MoA & AoA Support in ensuring compliance under SEBI (ICDR) Regulations and Companies Act, 2013 Prepare and file statutory forms and returns with ROC, SEBI, and Stock Exchanges Assist in due diligence, audits, and maintaining IPO-related documentation Monitor post-IPO compliance and liaise with regulatory authorities Ma...

Role & responsibilities Projects in IT Advisory focus on the assessment and/or evaluation of IT systems and the mitigation of IT-related business risks. They are either System audit, IT reviews, Technology Risk Assessments & Gap Assessments inline with circulars issued by SEBI/RBI/IRDAI. Technical Strong experience in review of guideline defined, conducting regulatory assessments for BFSI (E.g. RBI, SEBI, IRDAI). Global guidelines knowledge which includes NIST, ISO27001, PCI-DSS, COBIT, etc. Assisting in remediating gaps on the defined guidelines for the client. Performing System Audit and conducting technology landscape review. Having worked on Information Technology Risk Assessment areas s...

We are looking for a highly motivated and detail-oriented Junior Company Secretary (CS) to join our team in Pune at APL Business Services LLP. The ideal candidate will have 2-5 years of experience in the field. Roles and Responsibility Assist in drafting and reviewing legal documents, including contracts and agreements. Provide support for corporate governance and compliance matters. Maintain accurate records of company's legal documentation. Coordinate with external auditors and other stakeholders. Prepare and file regulatory returns and reports. Ensure timely completion of secretarial tasks and projects. Job Requirements Strong knowledge of corporate law and regulations. Excellent communic...

Secretarial 1. Drafting of Notice and Agenda of the Board and Committee Meeting 2. Drafting of Minutes of the Board and Committee Meetings 3. Drafting of Circular Resolution 4. Allotment and Redemption of Non-Convertible Debentures 5. Transfer of Shares 6. Change of Registered Office 7. Update of Statutory Registers 8. Assistance in various internal and external audits along with regulatory inspections

The Liability Sales department focuses on the liability acquisition, assets and retail forex business for the bank. The department drives business from 2700+ branches and is responsible for sourcing of retail and corporate deposits, salary and non-salary accounts, trust accounts and forex Business with a view to increase the retail book of the bank. About the Role Corportate Salary Manager ( CSM - Service) are a part of the Banks front line sales Team leadership force whose primary responsibility is to get new corporate salary accounts for the bank and explore new business opportunities. They are responsible to get the BDEs productivity on accounts, for selling products and services to the e...

Key Responsibilities would include assistance andsupport in the following areas Equity and Debt related compliances underCompanies Act, 2013, SEBI Listing Regulations and other securities laws Trade monitoring process and compliances underSEBI (Prohibition of Insider Trading) Regulations, 2015 and other SEBIRegulations, as applicable, to listed entities Board and Committee Meetings Record maintenance and filing of e-forms/returnswith MCA and routine submissions to Stock Exchanges Documentation and Co-ordination with regulatoryagencies in connection with the Employee Stock Option Scheme Maintain accurate records and support audits ordue diligence processes.

Handling Compliance of all the General Applicable Laws Timely approval of related party transactions To ensure compliances with listing regulations Providing Information/Details to other departments Laisioning with stock exchanges/other authorities Candidate should have listed company compliances experience Key Skill Sets Required: Well versed with stock exchange compliances Thorough knowledge of Companies Act, 2013 Knowledge of Secretarial Standards Complete Knowledge of Related Party Transactions including all the rules, Notifications & Circulars

Our client is a greenfield medical equipment manufacturing company poised to revolutionize the Indian healthcare landscape. Specializing in innovative, next-generation products in the field of neurology - The Company is Looking for a Qualified Company Secretary Role & responsibilities A Qualified Company Secretary With 8 to 12 Years Experience Green Field experience will be an added advantage Excellent experience in conducting board meetings recording the MOM. Hands on experience in company law regulatory activities and solid in end to end compliances in regards to company law. Regulatory in regards to Green Field projects Willing to work out of Oragadam, if needed relocate. Candidates aroun...

To be responsible for supporting all middle/back office operational activities in Mumbai office for listed derivatives Cash Equity products. Main Responsibilities: Operational Excellence: Sound understanding of Indian capital market, Clearing House, Custody, Depository SEBI regulatory framework. Role entails KYC/KRA, responding to clients process related queries, trade processing, contracting, sending STP to custodians, bank reconciliations, and any other related activities for Cash Equity Derivative markets. Perform operational activities. Perform EOD related activities proactively escalate if any issues encountered. Ensure strict adherence to internal and external process guidelines. Would...

Ensure compliance with Companies Act, SEBI regulations, FEMA, and other statutory requirements. Prepare and file ROC forms, annual returns, and other secretarial compliance documents.: Advise the board on governance best practices. resume-9812001068

DICKEY ASSET MANAGEMENT PRIVATE LIMITED Job Description for Financial Analyst :- The DHFIN Group comprises of three verticals - Asset Management, Alternative Investment Fund and Financial Advisory. We provide comprehensive financial and advisory services to corporates at various stages of their lifecycle. Our core services constitute buyout and management of stressed assets, the revival of companies under insolvency and liquidation. (website - www.dhfin.in) Office Location : DLF Building No. 5, Epitome Tower B, Phase II, DLF Cyber City, Gurugram, Haryana. Timings: 10:00 AM to 6:30 PM. Working Days: Monday to Saturday (except Second and Forth Saturdays) Expected Date of Joining: Immediate joi...

Key Responsibilities: Client Relationship Management: Establish and maintain strong, long-term relationships with existing and potential clients, including HNWIs, institutional investors, and corporate clients. Act as the primary point of contact for clients, addressing their needs, offering solutions, and providing high-level advisory on capital market investments. Regularly meet clients to understand their financial goals, risk tolerance, and investment preferences to recommend appropriate financial products and services. Business Development & Client Acquisition: Identify new business opportunities and actively generate leads through networking, referrals, and market research. Grow the cl...