386 Sebi Jobs - Page 2

Senior Role in the RTA (Registrar & Transfer Agent) Division : Location: Club House Road, Anna Salai,Chennai Full-Time | On-site Department: Registrar & Transfer Agent (RTA) We are looking for a Second in line to our EVP & CS, Registry Division to support end-to-end operations related to securities handling, investor services, and regulatory compliance. If you have a keen eye for detail, knowledge of SEBI norms, and experience in share registry functions, this is a great opportunity to grow with a dynamic team. Key Responsibilities: Assist the RTA Head in daily operations and compliance reporting Oversee share transfers, dematerialization, rematerialization, and dividend processing Handle investor grievances and ensure timely resolution Liaise with depositories (NSDL/CDSL), banks, and regulatory bodies Maintain accurate records and statutory registers Support corporate actions like bonus, rights, and split issues Requirements: Graduate/Postgraduate in Commerce, Law, or related field 5-8 years of experience in RTA operations Familiar with SEBI guidelines, Companies Act, and depository systems Prior experience with RTA software and tools is preferred Strong communication and coordination skills Preferred Candidate: Candidates with prior RTA or compliance operations experience Individuals settled in Chennai and open to a long-term opportunity Contact Details : Logetha HR - 7200198309

Years of Experience- 2+ Years Location- Navi Mumbai Mode of Working- Working from office Its mandatory to have experience working in a Listed company and Foreign Compliance Strong Knowledge on Company Secretarial &below activities. To assist in listed compliance To assist in postal Ballot exercise. To assist in Board of Directors Report, CG Report, BRSR report. To be hands-on experience in conducting AGM. To liaison with the various departments and complete Annual Report. To assist in compliance with SEBI LODR Regulations. To assist in updating of website as per Regulation 46 of SEBI LODR. To assist in monthly newsletter on Corporate updates. To assist in Insider Trading prevention and SDD tool; and To assist in compliances with Companies Act, 2013 To assist in foreign entities compliance If interested, please share your updated resume to priyadharshani.p@3i-infotech.com with the following details mentioned :- Name- Contact Number- Email ID- Current Location- Interested to relocate to Navi Mumbai- Yes/No Current CTC- Expected CTC- Notice period- Willing to join immediately- Yes/No

Summary Aliens Developers Pvt Ltd is debt-listed on the Bombay Stock Exchange. We are looking for a skillful and enthusiastic Company Secretary to be a part of our Legal, Finance and Accounts team with at least of 4-5 years of post qualification experience in similar profile across industry. The incumbent will be the sole owner of ensuring compliance under the Companies Act 2013 and the applicable SEBI Regulations as amended from time to time and other acts in respect of company and its group companies. Location: Aliens Space Station, Tellapur , Hyderabad Mode: On Site | Work from Office Work timings: Mon-Sat 11-8PM Website: https://www.aliensgroup.in/ Role & responsibilities Performing duties as a Compliance Officer and Company Secretary in terms of the Listing Regulations and other applicable SEBI Laws, Companies Act and shall ensure compliance of SEBI Laws and Depositories Act as applicable To ensure timely compliance of all the quarterly, half yearly, annual and event based compliances applicable to a debt listed Company under SEBI (LODR) Regulations, SEBI (PIT) Regulations and all other applicable SEBI Regulations To co-ordinate, correspond and liaison with BSE, NSDL, CDSL, Debenture trustees, lawyers, consultants and all such parties on behalf of the Company Advising the board and management committees on all statutory and constitutional requirements to ensure that business is conducted in a proper and effective manner Involved in Public Issue, Listing and Securities Management depending on Company Strategy Prepare and maintain minutes, statutory books including registers of members, directors and secretaries; and filing of return with Registrar of Companies, Regional Director, NCLT, Stock Exchanges and Government in respect of company and its group companies Preparation and filing of all necessary forms, returns with MCA/RoC as applicable under the Companies Act Prepare necessary applications for allotment of land from state government authorities etc. and coordinate all related matters Applying due diligence to ensure compliance of all ROC/ statutory issues Advising the company on arbitration, negotiation and conciliation in commercial disputes between various parties Such other responsibilities as may be given by the Management Preferred candidate profile Company secretary with 4+ years of relevant post qualification experience 4+ yrs of experience with excellent knowledge of Statutory, Regulatory, and Secretarial matters and documentation required under Company Law in a multi entity group with a widely held shareholding Should also have experience of handling compliances of a Debt Listed/Listed Company and experience in issuance of Securities through NCDs/IPO/QIP/IPP/Rights issue Exposure in Financial planning and reporting, General company compliance, LLP Compliance, ROC submissions, Entity conversions, company incorporations, RBI compliance, FDI Compliance

Experience: 3-6 years of experience in company secretary role or related field. Education: CS along with bachelor's degree in commerce (B.Com) or Law (LLB) from a recognized university Role & responsibilities: Secretarial Function Quarterly / Half Yearly / Yearly / event-based compliance reports preparation for Stock Exchanges. Lesioning with Registrar and Share Transfer Agent, NSDL, CDSL, BSE, NSE. Preparation for Board, Committee and Shareholders Meetings (Notice, Agenda and Minutes) Liaison with Independent Directors Assist in Annual Report & BRSR preparation of the Company. Managing investor relationship and shareholder grievances Handling Share holders correspondences / queries and follow up; Managing and maintaining Statutory register & records of files as required under Corporate Laws; Monitoring and follow up of Commercial laws, Securities / Capital Market Laws, Rules and Regulations, Secretarial Standard etc; Electronic filing of forms within statutory time limit as per Company law and SEBI requirement Coordination with Statutory and Internal Auditors for periodic audits and filings RBI / FEMA Compliances , Co-ordinate compliance declaration with MD/All functions Support all regulatory filings Dividend and IEPF related Compliance CSR related Compliance Support Legal Function: Instructing and managing external Lawyers / Advocates / Consultant for cases pertaining to Civil, Criminal and Customs matters and submission of documents on time. Drafting and vetting of legal documents as and when required Maintaining proper records pertaining to pending cases. Regular updating of management of all outstanding cases Attending at police stations for necessary reports, Courts / Office of Judicial & Quasi-Judicial authorities for submission of various documents

We are looking for a dynamic and detail-oriented Company Secretary to join our fast-paced FMCG organization at our Gurgaon corporate office. Location: Gurgaon, Haryana Industry: FMCG Work Days: 6 Days Working Experience: Minimum 2 Years Qualification: CS / Inter CS Role & responsibilities Ensure compliance with Companies Act and all statutory requirements. Conduct Board Meetings, Committee Meetings, and Annual General Meetings; prepare agenda, minutes, and resolutions. Handle ROC filings and maintain statutory registers and records. Support in drafting agreements, contracts, and other legal documents. Liaise with regulatory authorities like MCA, ROC, SEBI, etc. Assist in secretarial audits and due diligence processes. Coordinate with internal departments and external consultants on legal/compliance matters. Preferred candidate profile Candidates currently residing in or willing to relocate to Gurgaon. Minimum 2 years of relevant experience in a corporate setup, preferably FMCG or manufacturing. Qualified CS or Inter CS with sound understanding of company law and compliance. Excellent drafting, communication, and organizational skills. Ability to work independently and handle multiple tasks. Exposure to handling multi-entity compliance will be an added advantage. What We Offer: A dynamic and collaborative work environment within a leading FMCG organization Exposure to cross-functional legal and compliance matter Opportunity to work closely with senior leadership and contribute to strategic decisions Career growth and learning opportunities in a rapidly growing organization

Department: Internal Control Role: VR Listening Grade: E1/ E2 Designation: Assistant Manager/ Deputy Manager Location: Mumbai (Goregaon) Job Profile Listening to Voice recording as per dealer code of conduct requirements Handling and supervision of internal investigations of all reported and suspected fraud incidences, misconduct, policy / procedure breaches and timely issuance of reports. Investigate and assess alerts for potential risks. Take feedbacks from clients and maintain MIS data. Addressing clients record and ensure clients satisfaction. Delegate clients feedbacks to the Audit team. Requirement Graduate with experience of Fresher - 3 years. Proficiency with MS office especially Excel and Power point. Candidates with Kannada proficiency preferred. Good Communication skills (spoken & written). Well organized for preparing various MIS and follow-ups. Should be a self-starter, proactive, target oriented and a team worker. Should possess strong networking & relationship building skills. Share your updated CV on: pradeepkumar.muthukumar@kotak.com Contact no.- 8422917233

ABOUT EVERNORTH: Evernorthexists to elevate health for all, because we believe health is the starting point for human potential and progress. As champions for affordable, predictable and simple health care,we solve the problems others don’t, won’t or can’t. About the Role: We are seeking a dynamic and experienced leader to oversee the Legal & Compliance functions within the Evernorth Health Services India, located in Hyderabad. This role is responsible for overseeing all legal, regulatory, and compliance matters for Evernorth Health Services India. This role ensures that the company operates within the legal framework while mitigating risks and ensuring regulatory adherence. The position requires a deep understanding of Indian laws, corporate governance, local and global compliance frameworks, and regulatory requirements across industries. Key Responsibilities: Legal Affairs: 1. Regulatory Compliance – Ensure the company complies with all applicable laws, regulations, and industry standards, with an emphasis on employment, data privacy, security, and governance. 2. Contract Management – Draft, review, and negotiate contracts, agreements, and other legal documents. Liaison with various internal stakeholders to ensure timely closure of agreements and advising them on contractual mandates and compliances. 3. Corporate Governance – Assist with board and shareholder matters, ensuring compliance with corporate laws and regulatory filings. 4. Dispute Resolution & Litigation – Manage legal disputes, litigation, and arbitration proceedings, liaising with external counsel, regulatory authorities, and/or government agencies when necessary. Represent the Company and/or senior executives in legal proceedings and/or supervise such representation. Limit litigation risk exposure in all key areas, working closely with executives across India and US. 5. Intellectual Property (IP) Management – Ensure protection and appropriate use of trademarks, copyrights, patents, and other IP assets. Compliance & Risk Management: 1. Regulatory Liaison – Act as the point of contact for regulatory authorities (e.g., SEBI, RBI, IRDAI, MCA, etc.). 2. Policy Development – Develop and implement internal policies and compliance frameworks in line with Indian and global regulations and enterprise programs. Review and advice on legal implications of internal policies and procedures. Also guide on any new policies to be prepared in the interest of the organization, as and when required in collaboration with global legal and compliance partners. 3. Risk Assessment – Identify legal and compliance risks and develop mitigation strategies. 4. Ethics & Anti-Corruption – Implement, manage and oversee policies and programs for anti-bribery, sanctions, data privacy, and whistleblower mechanisms. 5. Internal Audits & Training – Conduct compliance audits, provide training to employees, and promote a culture of compliance and legal awareness. Stakeholder Management: 1. Cross-functional Collaboration – Work with HR, Finance, Operations, and other departments to support ongoing matters and ensure compliance with local and global regulatory changes. Engage with peers on program coordination to support global alignment of compliance and legal functions. Provide expert and strategic advice on legal and critical strategic operational matters. 2. Board & Executive Reporting – Provide strategic legal advice to senior management and the board on legal risks and compliance matters. 3. External Counsel & Regulatory Bodies – Manage relationships with external law firms, regulatory authorities, and government agencies. Others: Manage legal budget (as required) and partnerships with external law firms/attorneys. Keep abreast of global legislative trends and advise business of potential impact. Support in all governmental and/or similar audits and investigations. Advice on matters pertaining to employment, data privacy, data governance, DPDP, GDPR etc. Support / lead compliance implementations and initiatives, internal investigations, domestic enquiry, POSH etc. Develop, implement, maintain, and ensure adherence to legal/compliance processes and SLAs defined. Manage legal and compliance shared services from India, if required. Qualifications and Experience: Master’s degree in Law (LLM). 10+ years of experience in legal, compliance, and regulatory affairs, preferably in a multinational corporation or healthcare or financial services GCCs. Strong understanding of Indian corporate, labor, data privacy, and financial regulations. Experience dealing with SEBI, RBI, IRDAI, FEMA, Companies Act, and other regulatory frameworks. Proven leadership skills and the ability to manage legal teams, compliance officers, business leadership and stakeholders. Strong analytical, negotiation, and communication skills. Overall broad legal knowledge (corporate law, litigations, labor laws etc.). Effective people management experience. Preferred Industry Experience: Insurance & Healthcare Banking & Financial Services Technology & ITES Key Competencies: Strategic legal thinking Risk assessment and mitigation Change management Strong business acumen High ethical standards and integrity Effective stakeholder management Equal Opportunity Statement Evernorth Health Services India, as part of Cigna Health Solutions India Private Ltd, is an Equal Opportunity Employer actively encouraging and supporting organization-wide involvement of staff in diversity, equity, and inclusion efforts to educate, inform and advance both internal practices and external work with diverse client population s About Evernorth Health Services Evernorth Health Services, a division of The Cigna Group, creates pharmacy, care and benefit solutions to improve health and increase vitality. We relentlessly innovate to make the prediction, prevention and treatment of illness and disease more accessible to millions of people. Join us in driving growth and improving lives.

Role & responsibilities Serving as the primary point of contact for the board of directors, shareholders and regulatory authorities on corporate governance matters. Coordinating and facilitating board meetings, including preparing agendas, board packs and minutes. Ensuring compliance with statutory and regulatory requirements, including filing annual returns, disclosures and resolutions. Drafting and filing statutory documents, such as annual returns, board resolutions and meeting minutes. Maintaining corporate records, registers and statutory books as per the applicable laws and regulations. Advising management and board members on corporate governance best practices, legal requirements and compliance issues. Managing shareholder communications, including organising annual general meetings and handling shareholder inquiries. Guiding corporate governance best practices and implementing governance frameworks. Reporting of all compliances to the Board and Top Management, Quarterly Presentation to Board w.r.t. Risk Management Annual Risk Review of Compliance Function Established Contract Management System, Contract drafting, vetting and negotiations, Transaction Documents Preferred candidate profile Minimum 14-25 years of relevant work experience in a large BFSI, NBFC or financial services managing the Company Secretary function. We would also be open to consider recently retired candidates for 3 year contract

Candidate should have Minimum 5 years of work experience in a SEBI & RBI regulated organisation. Experience working in a Broking or Investment firm is a must. Good understanding of financial products, Capital Market. Excellent verbal and written communication." data- Daily PMS Operations. Knowledge of account opening for various types of investors under the AIF guidelines. Coordination and Sending trade instructions to Custody / Fund Accountant / RTA / Broker. Need to know about account opening in PMS forms for various client categories. Calculate the NAV Daily, Monthly, and Quarterly. Prepare and submit SEBI report in the required format for AIF. Monthly/Quarterly Payments, TDS return, working and TDS certificates. Solve the Internal, Interim and statutory queries. Follow the transfer and Pledge cases. Calculate the NAV on a daily and periodic basis.">

Share via: Job Title: Team Lead Legal & Compliance Location: Mumbai About the client: PSS has been mandated to hire a Team Lead Legal & Compliance for one of Indias premier asset management companies, headquartered in Mumbai. The firm is renowned for its disciplined approach, robust governance, and unwavering commitment to ethical practices, making it a trusted choice for investors across generations. Job Purpose: To lead the legal and compliance function, ensuring rigorous adherence to SEBI and regulatory frameworks. This role requires a seasoned compliance professional with strong legal acumen, business orientation, and leadership ability to support risk mitigation and policy enforcement at the organizational level. Key Responsibilities: Educational Qualifications and Experience: #LI-NV1 Monitoring and ensuring full adherence to SEBI and other statutory regulatory frameworks. Drafting, reviewing, and negotiating legal agreements and business contracts. Managing litigation and regulatory responses in coordination with external counsels. Designing and implementing internal policies exceeding minimum compliance thresholds. Conducting regular audits and generating reports for internal and regulatory stakeholders. Leading compliance risk assessments and mitigation strategies in collaboration with the risk team. Driving compliance awareness across the organization through training and engagement. Leading a team to ensure seamless legal and compliance operations. Candidates must be qualified Company Secretary (CS). LL.B. is ideal; CA or B.Com is an added advantage. 12-15 years of experience in legal and compliance roles, preferably within mutual fund companies or broking houses. Strong expertise in SEBI regulations, compliance, internal governance, and policy implementation. A proactive leader with strong interpersonal skills and business acumen. Job Summary

: Job Title Corporate bank PA Utility, AS LocationMumbai, India Role Description The role is an extension of the onshore Business Management & Control team CB DIPL Utility. It involves liaising with COOs and Business Managers across the CB products and Infrastructure partners.The role requires a hands-on individual, who will be involved in the day to day running of the business & responsible for business management activities across all CB products. Overview: Deutsche Banks Corporate Bank (CB) is a market leader in cash management, trade finance & lending, securities services and Trust & Agency Services. Focusing on the treasurers and finance departments of corporate and commercial clients and financial institutions across the globe, our universal expertise and global network allows us to offer truly integrated and effective solutions. Corporate Bank Central: The corporate Bank Central team comprises of the Business management, Divisional control office, KYC, Mercury & other central functions. The scope of the Business Management activities will typically be diverse and may include strategic business planning, financial control and reporting tasks, control function liaison, headcount management and compensation matters, IT and Ops service management and enhancement, co-ordination of business case approval and project sponsorship. What we'll offer you As part of our flexible scheme, here are just some of the benefits that youll enjoy Best in class leave policy Gender neutral parental leaves 100% reimbursement under child care assistance benefit (gender neutral) Flexible working arrangements Sponsorship for Industry relevant certifications and education Employee Assistance Program for you and your family members Comprehensive Hospitalization Insurance for you and your dependents Accident and Term life Insurance Complementary Health screening for 35 yrs. and above Your Key Responsibilities Acting as an owner and the first point of contact to coordinate tasks and admin activities for the Managing Director and/or Director including: Co-ordinate calendars / schedules to ensure effective time management and prioritization of engagements where necessary Own the setup of meetings across multiple time zones, booking rooms and coordinating catering so that events run without disruption. Working with the Site Lead Assistant to co-ordinate and oversee site-wide events. Prepare materials for internal and external mandates e.g. presentations, spreadsheets, management reports, agendas to a professional standard, maintaining attention to detail Provide administrative support for project work and ad hoc activities, including division specific tasks (eg on-boarding, space planning) Establish trust to be able to handle sensitive telephone and email correspondence. Cover for other assistants for holiday/sickness Screen telephone calls, pass on messages. Actively share knowledge with fellow Assistants and foster support culture across divisions and provide cover when other team assistants are out of office Works with other Assistants where necessary to ensure support needs are covered eg short-term absence Supporting and coordinating with Team Lead Assistant with onboarding and offboarding process for joiners and leavers to the team, including email communications, IT set up, drive access, advising on asset collection and return Managing team email distribution lists, update joiners and leavers and conduct periodic recertification in coordination with Team Lead Assistant Managing and coordinating Travel requests and submission of reimbursement claims thereof. Expense management coordinating for payments of the vendor invoices & submitting reimbursement claims Recertification & new access requests, approvals of various business drives, share point and business applications Managing the on-boarding process for new joiners, movers & off-boarding for all leavers. Required to undertake special project work as requested and on an ad hoc basis. Managing and coordinating Travel requests and submission of reimbursement claims thereof Managing approval matrix in the system Document Archiving Implement best practices Job Excellent verbal and written communication skills. Ability to converse clearly with regional and global employees Highly organized individual and an excellent planner with attention to detail Experience of working in multi-tasking, timeliness, and quality focused environments Good organizational skills and the ability to prioritize heavy workloads to ensure optimum service delivery, demonstrating flexibility when handling multiple tasks Ability to work well under pressure in a fast-paced environment. Excellent computer skills (MS Office) including email applications. Ability to work well in virtual teams in matrix organizations. Flexible, reliable and adaptable with a positive approach Able to proactively initiate, develop, and maintain effective working relationships with team members including stakeholders, demonstrating the ability to cooperate with a variety of people. The ability to anticipate needs and act independently Ability to handle confidential information and use discretion around sensitive management issues Your Skills & experience: Bachelors degree level (Business Administration) or equivalent qualification Experience in a business management/control discipline / project management Significant attention to detail and high degree of initiative Excellent skills in using MS Office in specific Power Point and Excel Driven and motivated to work under tight timelines. Excellent communication & Coordination skills B2 / C1 level German speaking is a good to have. How we'll support you Training and development to help you excel in your career Coaching and support from experts in your team A culture of continuous learning to aid progression A range of flexible benefits that you can tailor to suit your needs

Dhir Dhir Associates is looking for Company Secretary to join our dynamic team and embark on a rewarding career journey To be a designated Company secretary for Group Companies at Vidyavihar (West) officeHandle documentation with high-level of confidentiality To Manage the secretarial aspects of Board Meetings, AGMs, and other corporate activities including preparation, review and distribution of Notice, Agenda Items, Minutes of the meetings, Board Resolutions, and any other documents as applicable To ensure and vet the contracts and other documents of the company keeping company interest ahead Compliance and advisory work relating to Companies Act, ROC and other Secretarial Compliance To maintain records of all documents required for Audit and establish the right auditable procedures Prepare and present periodic compliance reports to senior managementTo assist Finance department as and when required

This is regarding opening with a leading Financial Institution as a Chief Regulatory Officer Designation: Chief Regulatory Officer Experience: Minimum 12 years of experience in Regulatory affairs, compliance or with financial institution or Exchange. Location: Gujarat Job Role: Leading the Regulatory Team, providing direction, mentorship, and support; Responsible for securing surveillance of market activities and information technology relating to surveillance; Responsible for presenting regulatory strategies and policies to the board, regulators, and other stake holders; Engagement with Regulators on all the policy-related issues, being part of the Committee advocacy based on fairness and needs of the market as a whole; Oversee and supervise the surveillance, membership and inspection department Dealing with Statutory Regulatory Committees, coordinating with Committee members; Develop, Implement and Oversee Regulatory Strategies and programs to ensure compliance with applicable regulations and law Monitoring Regulatory developments and changes, assessing their impact on the organization and mitigate potential regulatory risks. Supporting various business and operations team in terms of thought leadership If this excites you kindly mail me on shivani@thepremierconsultants.com #regulatory #regulatoryrepoting #regulatorycompliance # surveillance #inspection #BFSI #internationalexchange #stockexchange #Committee member

NOTE : *This position will be reporting to the Manager Company Secretary* Roles & Responsibilities: Ensuring Compliances under Companies Act/ SEBI/ FEMA are adhered to within the timelines specified therein Ensuring effective Co-ordination with Various stakeholders like Statutory Auditors, Internal Auditors, Secretarial Auditors and Secretarial Consultants and carry out successful completion of secretarial and Statutory Audit Drafting of minutes, agenda, notices of all the committee and board meetings Filing of e-forms with ROC, RBI, stock exchanges Reviewing compliance tool Coordination for Board Meetings, Committee Meetings, Shareholders meeting including documentation required thereof and recording of minutes thereon Reviewing, Maintaining and updating the statutory records including attendance registers Event based Secretarial Compliance related filings by means of e-Forms and Returns with the Registrar of Companies through Ministry of Corporate Affairs portal Preparation, review of filing of Form ODIs w.r.t overseas direct investments Reporting compliances to RBI w.r.t existing foreign entities like APR filing / FLA return filing Preparation of term sheets w.r.t shareholders agreement and Share Purchase agreements / AOA Liaison with external regulators and advisors like Lawyers, Auditors, Consultants, Registrar of Companies, Bankers and other Stake holders Co-ordination with auditors of foreign entities in relation to Compliances of the Company Analyzing the changes in law from companies Stand and for updating self Preparation of Annual Reports for Parent and Subsidiary companies Skill Set Required: Functional Skills : Ability to read comprehend documents Coordination skills Time Management Skills Knowledge on drafting notices/agenda/minutes of board meetings/committee meetings/general meetings Technical Skills: Core working knowledge of Companies Act, SEBI regulations and FEMA Updated knowledge of amendments to Companies Act, SEBI regulations and FEMA MS Office

Ensuring the company complies with relevant laws, regulations, and corporate governance best practices. Liaising with external regulators, advisors, and shareholders, and building strong relationships with key stakeholders. Required Candidate profile Providing secretarial support to the board, managing correspondence, preparing reports, and ensuring effective communication Providing legal, financial, and strategic advice to the board and team

Proficient in LODR regulations for quarterly financial results, and IND AS. Strong understanding of finance and accounting practices and their business interface. Experienced in preparing Schedule III financial statements and managing audits. Required Candidate profile Looking for a candidate with experience in the manufacturing sector and expertise in Oracle Hyperion.

Company Secretarial & Legal for Japanese based listed company Legal Compliance is a key governance professional responsible for the organization complies with statutory & regulatory requirements bridge between the board of directors, management, SEBI Required Candidate profile qualified company secretary & LLB 10+ years good experience in Corporate governance, legally strong and experience of preparing organization for IPO Person from Japanese companies is added advantage.

Responsible for acquiring new clients and driving revenue growth Assist clients with Demat account management and stock market operations Develop strong client relationships, offer valuable insights, resolve concerns, and enhance client satisfaction

Position: LLB with Company Secretary Experience : 5 to 10 Years Package: 12.00 LPA Location: Hyderabad H.O(Banjara Hills) Role & responsibilities The duties of a company secretary often include the following: Advising the Board on governance and strategic matters. Ensuring Compliance with the company's Articles of Association. Maintaining Statutory Registers such as registers of members, directors, and those with significant control. Filing essential documents with Companies House (confirmation statements, accounts, and director appointments). Overseeing communication between the company and its shareholders, including arranging annual general meetings (AGMs). While many of these duties are administrative, failure to perform them correctly can result in significant legal consequences for both the company and its officers. Preferred candidate profile Any CS with Real Estate or any Private limited company experience is preferable. Interested candidates can Share their CV to Sudheer.b@janapriyaupscale.com or HR Contact: 6309607444

Responsible for acquiring new clients and driving revenue growth Assist clients with Demat account management and stock market operations Develop strong client relationships, offer valuable insights, resolve concerns, and enhance client satisfaction

1. Conduct inspection on members site as per the inspection calendar for the quarter following a pre-approved checklist. 2. Draft the inspection report for the member. 3. Expand the scope of inspection beyond the pre-approved checklist after consulting manager. 4. Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager 5. Prepare the inspection report 6. Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager 7. Conduct onsite inspection for vault & warehouse of commodities for the storage facilities and the goods stored therein. Collate data to cater to the request raised by external regulators like SEBI and various internal departments 8. Collate and analyse data from other exchanges and internal departments for reports Analyse the compliances of Members for pre decided parameters for offsite. 9. Analyse the Member data along with the information available with the company for checking the accuracy. 10. Follow up through telephone/email for seeking reply to the queries raised, if any discrepancy is being observed. Escalate non-compliant members to Manager 1. Tracking SEBI Circulars and ensure compliance of SEBI norms for NSE Clearing 2. Support collation of data for submission to Regulatory authorities

Key Areas of Responsibilities Ensuring implementation of regulatory & corporate compliances with respect to SEBI, BSE, NSE & NCL and other Regulatory Authorities including submission of all regulatory filings in a timely manner Managing application to Stock Exchanges / SEBI for renewal of licenses, change in Directorships/shareholding pattern of the Company etc. Assisting in any new business proposal and ensuring it is meeting the regulatory requirements, obtaining necessary regulatory approvals in a time-bound manner (wherever required) Advise the business on legal & compliance issues and regulatory risks pertaining to Broking, investment banking and research business Responsible for the various audits/inspections conducted by Stock Exchanges, SEBI, Internal auditors, External auditors, etc. Assist in ensuring that the Company has appropriate compliance framework to ensure compliance of all applicable laws, regulations and internal policies Conducting regular transaction monitoring, identifying suspicious activity/transactions, performing Client Due Diligence, etc. in accordance with internal policies. Formulating & conducting face-to-face compliance trainings for staff at periodic intervals Formulate and implement compliance policies and plan in consultation and co-ordination with regional compliance team Identify and analyze regulatory changes and oversight implementation Formulate and implement appropriate remedial measures to prevent re-occurrence of breaches, if any. Responsible for Client on-boarding, broker empanelment and ensuring all SEBI, PMLA, FIU and other relevant KYC information / documents are adhered to in accordance with internal compliance checklist is adhered to Escalate potential delays/ red flags/ non-compliances to manager effectively and in a time bound manner Oversee the identification, analysis and management of regulatory breaches Requirements 12+ years of experience in working in financial services industry preferably from a global financial services firm Experience with legal matters and/or company secretarial matters would be preferred Clear and confident communication style - verbal and written Assertive personality - able to challenge difficult users and extract clear and logical requirements Attention to detail - individual will be required to ensure all impacted process/regulations are considered Good overall business knowledge - understanding trade life cycle of equities markets in India Experience in Indian legal matters across functions Good relationship with external agencies (Regulators, exchanges, financial institutions) This is a single contributor and hence should be diligent, nimble footed, pro-active and hard working. Professional Degree - minimum of a MBA, Chartered Accountant, Company Secretary, and/or LLB Candidate with some legal experience and/or Company Secretarial experience will be preferred. S trong written and verbal communication skills

Job Description Corporate Governance & Compliance: Ensure compliance with the Companies Act, 2013, Securities and Exchange Board of India (SEBI) regulations, and other relevant laws and statutory requirements, particularly concerning the functioning of listed companies. Regularly update the Board and management on changes in relevant laws, regulations, and compliance obligations. Prepare, maintain, and update records as required under SEBI (LODR) regulations and other statutory provisions. Advise the Board on corporate governance practices, ensuring compliance with best practices and regulations. Oversee the management and filing of various regulatory filings such as annual returns, financial reports, and corporate announcements with the Registrar of Companies (RoC) and other authorities. Board & Shareholder Meetings: Organize and coordinate Board and Committee meetings, including scheduling, agendas, minutes, and follow-up actions. Act as the Secretary to the Board of Directors and its Committees, ensuring meetings are effectively managed and all corporate decisions are appropriately documented. Prepare and maintain minutes of meetings, resolutions, and other relevant documentation. Ensure timely filing of financial reports and disclosures with regulatory authorities and stock exchanges. Liaise with shareholders, regulators, and other stakeholders regarding the companys affairs, including disclosures and voting matters. Regulatory Compliance & Reporting: Ensure timely compliance with SEBI regulations (including the SEBI Listing Obligations and Disclosure Requirements (LODR)). Oversee filing of quarterly, half-yearly, and annual financial results, along with required disclosures to Stock Exchanges and SEBI. Assist in managing insider trading policies, ensuring compliance with the SEBI (Prohibition of Insider Trading) regulations. Handle Annual General Meetings (AGMs), Extraordinary General Meetings (EGMs), and proxy voting processes. Manage the shareholder registry, including share transfers, dividends, and corporate actions such as stock splits or mergers. Required Candidate profile/competency: Qualified Company Secretary with Extensive knowledge of Companies Act Regulations, SEBI Regulations Required 5 years' post-qualification experience in a listed company Ability of dealing and interactions with regulators, stock exchanges The experience should be in SEBI/companies Act/ filings and secretarial functions Preferably a NBFC/Financial services company Behavioural skill set: Team Player & Resourceful Self-Driven Professional Good Communication & Interpersonal Skills

Dear, Hope you doing great! Have an opening for below mentioned role with Leading Financial Broking Company. Location: Gift City - Gujrat (If interested & ready to relocate pl apply) Key Responsibilities Regulatory Compliance & Reporting Monitor and ensure compliance with all SEBI and IFSCA regulations relevant to AIFs. Keep abreast of latest regulatory changes and promptly inform internal stakeholders. Prepare and submit accurate and timely regulatory filings and reports. Maintain up-to-date documentation and systems for all compliance matters. Compliance Monitoring & Risk Management Design and implement a system for continuous compliance checks across AIF operations. Conduct regular internal audits and compliance assessments. Identify compliance gaps and initiate corrective action. Oversee AML/CFT compliance and monitoring activities. Internal Coordination & Documentation Liaise with internal and external stakeholders including Custodians, Fund Accountants, and Fund Administrators. Review, draft, and manage legal documents and agreements. Support internal audit functions and assist in audit preparedness. If interested, kindly revert with updated CV mentioning below details on VaishnaviG@topgearconsultants.com for more company details. Pl share your resume; Mentioning BELOW DETAILS (Mandatory) Current Location: Preferred Location: Highest Qualification: Years of Exp: Current Salary: Expected Salary: Notice Period: Thanks & Regards, Vaishnavi Gopale Visit us at www.topgearconsultants.com www.linkedin.com/in/vaishnavi-gopale-

Account Opening, Dematerialization/Rematerialization,Transmission,Pledge,Margin Pledge/Freeze/Unfreeze,etc Verify and process client documentation in line with SEBI & DP norms Monitor & Manage DP systems(e.g., Local DPM, eDPM, NDML, IDeAS, DP Secure) Required Candidate profile DP Back Office Compliance & Doc. etc. Coordinate with RTAs,NSDL&internal Depts.,for Operational Activities Process DIS slips&oversees off-market/inter-Depository Transfers Male Candidate below age 35 Perks and benefits Performance Bonus