1049 Sebi Jobs - Page 23

Job Title Executive/Senior Executive Corporate Compliance Operations Qualification and Skills Qualification - Postgraduate (preferably MBA or equivalent) 2-4yrs experience with financial service/institution Basic knowledge of Corporate Compliance policies and monitoring of policy requirements Managing queries from employees and relevant stakeholders Good communication skills Proficient in MS Office Description of Tasks Tracking and updating the various Regulatory Portals Likes SCORES, ODR and SEBI Intermediary Portal Track aspects related to Ratings Compliance Operations, like Business Advisories, Conflict Checks, etc. Support in Personal Trading Policy related operations, Legatrix Operation...

Thorough knowledge of Companies Act, 2013, Knowledge of SEBI(ICDR) , SEBI (LODR) regulations

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 Asset Desk Managers (ADM) are responsible for driving the Cross Sell (assets) business of the bank by exploring business opportunities from existing customers of the Bank. ADMs are situated in branches and are responsible for selling asset products and services to customers based on their needs. They are responsible for handling que...

Role & responsibilities Ensure compliance with Companies Act, 2013 and applicable RBI/HFC regulations Draft and maintain minutes of Board Meetings, Committee Meetings, and General Meetings Prepare and file statutory returns and forms with the Ministry of Corporate Affairs (MCA) Maintain and update statutory registers and records Assist in drafting company policies, resolutions, and internal compliance documentation Liaise with internal departments, auditors, and regulatory bodies Support the Board of Directors and ensure corporate governance standards Handle shareholding-related matters, ROC filings, and secretarial audits

To ensure compliance to activities related to Securities laws, listing agreement, depository bye-laws and other applicable SEBI regulations and provide effective governance and assistance to the Board of Directors in execution of their tasks. Formulate and implement Corporate Governance practices Build strong relations with investors / JV Partners Report corporate (statutory) compliances to the Board Manage compliance with the rules and regulations and be responsible for reporting Convene statutory meetings and shareholders meetings, manage proceedings and draft minutes Draft model terms of reference for the Board/Board committees Keep board members up to date with strategic issues and econo...

Key Responsibilities: The Compliance Executive ensures adherence to all regulatory and legal requirements established by governing bodies, such as SEBI (Securities and Exchange Board of India), exchanges, and other financial authorities. This role involves monitoring, reporting, and guiding to ensure compliance and mitigate risks. Ensure timely and accurate compliance with SEBI, NSE, BSE, NSDL, CDSL, and other regulatory bodies. Monitor regulatory updates and proactively implement changes in internal systems/policies. Manage day-to-day regulatory communication, clarification, and compliance mail handling. Prepare and submit statutory reports: Global Transaction Statement, STT Certificates, N...

Role & responsibilities To handle all the secretarial matters, drafting of minutes, drafting of notices, drafting of LLP Agreements and E-filing of various documents with ROC To file e-forms on MCA accurately To prepare and update Statutory Registers under Companies Act To be responsible for incorporation of Companies/LLPs To ensure compliances with Listing Agreement To coordinate with various department for compliance of Tax Laws/ Labour Laws/ Corporate Laws for compliance To keeping track of the various laws applicable to the organization on an ongoing basis To facilitate in training and development of the skills of the team members Preferred candidate profile Written Communication Analyti...

Job Title: Company Secretary (CS) Experience in Listed Limited Companies Location: Gurugram Employment Type: Full-Time Experience Required: 3- 7 years (in listed companies preferred) About the Role: We are looking for a qualified and experienced Company Secretary with hands-on experience in managing compliance, governance, and regulatory filings for listed limited companies . The ideal candidate should have a thorough understanding of SEBI regulations, Companies Act, and stock exchange (BSE) listing requirements. Key Responsibilities: Ensure compliance with all statutory and regulatory requirements applicable to listed companies, including SEBI (LODR) Regulations, Companies Act, 2013, and Se...

Company Secretary --> --> Location, Designation --> LocationMumbai DesignationCompany Secretary Experience1 PQE SECRETARIAL ROLE Be responsible and manage the secretarial functions of the Company and therefore, a thorough understanding of Companies Act and the rules thereunder is the key. Ensuring half yearly, yearly and event based compliances applicable to the Company. Schedule, plan and organize Ad hoc/quarterly Board and Board Committee meetings. Prepare agenda and draft minutes of Board/Board Committee Meetings and Directors Report. Drafting resolutions as per the business requirements of the Company. Prepare and undertake all statutory and other filings including to the Registrar of Co...

Manage MCA filings, support PAN/TAN/DSC processes, oversee DEMAT/bank accounts, handle board resolutions, assist corporate secretary with compliance and admin tasks, and ensure smooth India office operations. Teamwork and flexibility essential.

Manage RBI Compliances RBI Approvals SEBI Compliance & Liaisoning Policy Drafting for Clearing Corporation Exchange Approvals Board & Committee Meetings Corporate Restructuring

Companies Act, 2013 SEBI, SCRA, capital market reg Secretarial Standards issued by ICSI E-filing with MCA/ROC & SEBI Insider Trading, Takeover Code, and Listing Agreements Drafting Notices, Resolutions, Board Notes. Secretarial Audits & Due Diligence Provident fund

Qualification : CS / LLB Job Profile : JD Manager Compliance: CS/LLB 7-10+ years of experience in stock broking operations only. Excellent organizational skills, including time management, record keeping, self- scheduling, and follow-up. Expertise to draft clear and professional correspondence and other documents of a legal, compliance and business nature. Flexible and ability to prioritize tasks and manage multiple tasks within compressed timelines. Job Description: Responsible for regulatory compliance in a stock broking business and regulatory audit- assisting in Concurrent and Internal Audits and Inspection by SEBI/CDSL/BSE etc. Manage all operational processes as per regulatory framewor...

Job Title Executive/Senior Executive Corporate Compliance Operations Qualification and Skills Qualification – Postgraduate (preferably MBA or equivalent) 2-4yrs experience with financial service/institution Basic knowledge of Corporate Compliance policies and monitoring of policy requirements Managing queries from employees and relevant stakeholders Good communication skills Proficient in MS Office Description of Tasks Tracking and updating the various Regulatory Portals Likes SCORES, ODR and SEBI Intermediary Portal Track aspects related to Ratings Compliance Operations, like Business Advisories, Conflict Checks, etc. Support in Personal Trading Policy related operations, Legatrix Operation...

Environmental Stewardship Monitor and report on environmental KPIs - energy use, water consumption, waste management, and emissions. Collaborate with EHS teams to implement greener practices across manufacturing units. Support carbon footprint analysis and work toward net-zero initiatives. Social Responsibility Coordinate CSR initiatives and ensure alignment with ESG metrics. Support health, safety, and well-being programs for employees and communities. Track employee diversity, inclusion efforts, and training impact across the company. Governance & Reporting Support ESG data collection and ensure timely and accurate disclosures (e.g., BRSR, GRI, SASB, CDP). Liaise with internal teams for ES...

About Us Tata International Limited is a leading trading and distribution company that has served the industry for over six decades, exemplifying its core values of Pioneering, Integrity, Excellence, Unity and Responsibility. We have our footprints in over 29 countries across the globe operating in diversified verticals from trading and distribution to manufacturing and retail, which offers our employees a dynamic environment rich in opportunities. Guided by the common threads of Tata Code of Conduct, we foster a collaborative and inclusive work environment that encourages personal and professional growth thus laying a strong foundation for creating a world-class organization where employees...

Reporting to: Company Secretary Compliance Officer Desired Qualification: CS Targeted industry: Any (Logistics preferred) Job Purpose: To carry out Secretarial compliances of the companies within the group. Key Areas: Secretarial Functions Ensure timely filing of all returns documents with relevant authorities Manage JV compliances and Board Meeting requirements of subsidiaries Managing and assisting in compliances related to foreign subsidiaries Handling restructuring, demergers, MA, striking off and dissolutions, etc. Coordinating and conducting timely board and committee meetings, general meetings and ensuring compliances related thereto Maintenance of Minute Books and statutory registers...

Managing SEBI related compliances for broking houses Ensure routine compliance with the regulatory requirements of stock exchanges Monitor and review all circulars, notifications, and guidelines issued by regulatory authorities such as SEBI and stock exchanges. Manage letter of observations received from Exchanges. Implement Key circulars from Exchanges and SEBI. Submit various reports within due date to regulatory authority: Internal audit, Cyber security audit, system audit, Risk based supervision, Annual Returns Liaison with product and tech teams to integrate SEBI and Exchange approved features

Key Responsibilities: Corporate Governance & Board Support Organize and coordinate Board Meetings, Committee Meetings, and Annual General Meetings (AGMs). Draft agendas, issue notices, prepare and circulate minutes, and maintain statutory records. Ensure timely filing of returns and forms with ROC, MCA, SEBI, and other regulatory bodies. Regulatory & Legal Compliance Ensure compliance with Companies Act, 2013, FEMA, SEBI (LODR), and applicable laws. Monitor and implement changes in legal and regulatory requirements. Liaise with legal advisors, auditors, regulatory authorities, and shareholders. Secretarial Duties Maintain registers, records, and filings as required under statutory provisions...

Description: The Company Secretary (CS) with Legal Expertise is responsible for ensuring that the company adheres to all statutory and regulatory requirements while providing legal support across various corporate law matters. This role involves managing corporate governance practices, advising on legal risks, and ensuring compliance with applicable laws. The ideal candidate will have 2-3 years of experience as a Company Secretary with an additional qualification of LLB, enabling them to effectively handle legal and secretarial duties within the company. Key Accountabilities: Corporate Governance: Ensure that the company complies with all statutory and regulatory requirements, maintaining be...

Areion Assets Management Private Limited Position: AVP Principal Officer Location: Ahmedabad (GIFT City) Employment Type: Full-Time We are in process to launch a Special Situation Fund in GIFT CITY Ahmedabad. To manage the fund we are looking for a Principal Officer. About Us: Areion Asset Management Private Limited, an investment manager for SEBI-registered Category I and Category II Alternative Investment Funds (AIFs), is preparing to launch a Special Situations Fund in GIFT City, Ahmedabad. We are seeking an experienced Principal Officer to oversee fund compliance, administration, and operations. Job Summary: Will be responsible to monitor and execute various statutory compliances applica...

To add value and improve operations by bringing a systematic and disciplined approach to the effectiveness of risk management, control, and governance processes. Plan and execute audit engagements, including data analysis and testing. Required Candidate profile Perform and control the full audit cycle including risk management and control management over operations’ effectiveness, financial reliability and compliance with all applicable directives and regu

Summary: The role has a broad range of responsibilities across an array of compliance (including KYC/AML/AFC related topics) for IBU which entails providing guidance on applicable regulations, managing risk assessments, providing compliance advisory, designing compliance programs/frameworks, monitoring, executing on compliance strategies, finalizing policies and procedures and implementation of global projects. You will gain exposure to the variety of corporate bank businesses (Trade, Cash, Trust, Custody) and other business as and when offered in IBU. Compliance, as an independent and robust second level control function, manages Compliance risk and deepens the Culture of Compliance at Deut...

- Corporate Governance & Compliance - Board Support and Administration - Shareholder Communication - Corporate Strategy Support - Exp of listed compliances Detailed JD will be forwarded to interested candidates, Please apply with your updated CV.

Role & responsibilities Maintaining oversight of the developments in the MFD, RIA, NBFC, digital lending, and account aggregator, to proactively manage the potential regulatory risk exposure of affected divisions/departments and ensure compliance with the statutory requirements and regulations prescribed by SEBI / AMFI / RBI / FIU-IND and all other applicable legislations. Develop, implement, and maintain regulatory policies/procedures/processes under the Compliance Program, including review mechanisms & processing, to ensure its continuous effectiveness in ensuring all applicable compliances by the company. Identifying and assessing Compliance risks in business & operation functions, and th...