643 Sebi Jobs - Page 26

Basic Section No. Of Position 1 Grade 9 Level NA Organisational BUSINESS Financial Services BUSINESS_UNIT-1 ABC Digital Ltd. BUSINESS_UNIT-2 ABC Digital Ltd. BUSINESS_UNIT-3 ABC Digital Ltd. DEPARTMENT-1 Risk Legal Comp Secret Audit Country India State Maharashtra Worksite Goregaon R Tech Industry -- Function Risk Management & Compliance Skills Skill Payments Minimum Qualification Post Graduate CERTIFICATION No data available About The Role Job Purpose The role is responsible for managing all compliances involved in connection with the business of ABCD throughout the entire life cycle of the products and services offered by ABCD, including distribution business, lending business , payment solutions business. Job Context & Major Challenges Job Context/Job Challenges:Organizational Context ABC Digital has been incorporated as a wholly owned subsidiary of Aditya Birla Capital in 2023 to engage in distribution of Aditya Birla Capital products and providing services to customers, including web-based services, e-commerce, and payments facilities and allied activities. ABC Digital is developing an omni-channel based D2C platform (website and app) to acquire new customers and serve them seamlessly. In addition, ABC Digital has started a virtual engagement management through inbound and outbound calling. Also, ABC Digital is engaged in selling different ABC products to walk-in branch customers. The business of ABCD involves deep understanding of technology in the financial sector and the inter-play of laws and regulations in connection therewith. ABC Digital is collaborating with all ABCL subsidiaries to deliver a truly personalized and seamless omni-channel experience for both new and existing customers by building capacity and enhancing productivity through investments in talent, technology, marketing, and data and analytics. Job Context Part of Compliance & CS team looking after Managing compliances in a timely and orderly manner in all regulatory matters under corporate laws, including SEBI, MCA, RBI, Information Technology; Work regularly with internal teams to complete filings within prescribed timelines; Payments being one of the key elements of ABCD, this position would requires to have a deep understanding of the payment and settlement systems and all laws and regulations in connection therewith. Being a distributor of various products and services ABCD will deal with huge volume of data this position will be required to ensure compliance with data protection laws including regulations stipulated by various regulators in connection therewith. Enabling skill sets & qualifications- CS with minimum 5 years of post-qualification experience Candidate from private bank / NBFC / Mutual fund / Wealth management firm / Insurance Corporate agent/ law firm/Lending organisation . Candidate should be well versed with 2-3 of the regulations atleast relating to regulations mentioned in this JD Key challenges for the role:- Timely compliance & updates Key Result Areas KRA (Accountabilities) (Max 1325 Characters)Supporting Actions (Max 1325 Characters)KRA1Compliance ManagementManage compliances in a timely and orderly manner in all regulatory matters under corporate laws, including SEBI, MCA, stock exchanges, RBI;KRA2MonitoringMonitor statutory compliances and follow up regularly with internal teams to complete filings within prescribed timelines; Develop guidelines, SOPs, document templates as may be required from compliance perspective and as good governance; Maintain Registers, Minutes books as are required to be maintained under the Companies Act, 2013; Keep abreast of the regulatory changes & come up with the implementation planKRA3FilingPreparing and filing forms, returns, applications, documents, etc. to be filed with MCA, stock exchanges, etcKRA4Stakeholder ManagementInteract with auditors, regulators, and other internal as well as external stakeholders. Assist in Secretarial audits Conduct / Support conduct of Board meetings

Job Summary: We are seeking a dedicated and detail-oriented Asst. Operations Manager to manage the day-to-day operations related to our Portfolio Management Services (PMS) and Alternative Investment Fund (AIF) products. The ideal candidate will handle client onboarding, report updates, document follow-ups, and other essential tasks to ensure smooth operational functioning. Key Responsibilities: • Manage and streamline the process of onboarding new clients for PMS & AIF products, ensuring timely collection and verification of KYC documents and other required information. • Prepare and update client reports on a regular basis, ensuring accuracy and compliance with internal and regulatory guidelines. • Coordinate with clients and internal teams to follow up on pending documents, ensuring all necessary paperwork is completed and filed on time. • Maintain and update client records, transaction details, and documentation in internal systems. • Ensure that all operational tasks comply with the guidelines of SEBI and other regulatory bodies, assisting in compliance reporting. • Act as a point of contact for clients regarding operational queries, providing updates and resolving issues related to their PMS & AIF accounts. • Work closely with the finance, compliance, and customer service teams to ensure seamless service delivery. • Assist in streamlining operational processes and identifying areas for improvement to enhance efficiency. Qualifications & Skills: • Bachelors degree in Commerce, Finance, or related field (MBA preferred). • 3+ years of experience in financial services, preferably in PMS, AIF, or wealth management operations. • Strong proficiency in MS Office, especially MS Excel. • Excellent communication skills, both written and verbal. • Attention to detail and ability to manage multiple tasks. • Knowledge of SEBI regulations for PMS & AIF products is an advantage.

Greetings from Cruits Consulting Pvt Ltd! Hiring AGM-Company Secretry(ACS with LLB/BL) in Top MNC(Bangalore)ICSI Qualification-ACS(ICSI) with LLB/BL Experience-10+ years Location-Bangalore

Role & responsibilities The Company is Middle Layer NBFC and has listed debts. Following will be the key responsibilities :- Leading the Secretarial & Corporate Governance team Company Secretary of the organization, designated KMP as per Companies Act and Compliance Officer for SEBI. Anchor of Corporate Governance for the organization. To ensure a strong Corporate Governance framework is in place Getting organization IPO ready. As and when the decision on taking up IPO takes place, leading that crucial initiative from Secretarial function point of view Checking & ensuring secretarial compliance with all applicable laws including RBI Regulations, SEBI, MCA and other compliances Handling Secretarial and other audits independently for Secretarial matters. Preparing Notices, Agenda papers, resolutions, MOMs, ROC forms, Offer letters etc. and suitably scheduling it, representing it (wherever needed) in different Board forums. Listing of Non-convertible Debentures, Commercial Papers, Foreign Currency Bonds etc. on the stock exchange. Preparation/Review of GID, KID, IM & other transaction documents for issue of NCDs & other borrowings, Preparation of Annual report of the Company as per Companies Act, 2013. Maintenance of records, registers, minutes of meeting and other important documents of the Company Liasoning & Correspondence with various Regulatory Authorities Well versed with the provisions of Companies Act, 2013, Rules, Exchange Compliances, SEBI Guidelines for Listing of Debt & Equity etc. Co-ordination with Auditors, Practicing Company Secretaries, ROC, Printers, Mailers, Bankers, Customers, Consultants etc. Update key regulatory developments and changes applicable to the Company. Key Skills Set Excellent communication and articulation skills and experience of having worked independently with senior management teams & Board of Directors. Good drafting and presentation skills. A good team leader, ability to build and manage relationships and inspire the trust of stakeholders.

Designation - Manager / Senior Manager - RBI Compliance Location - Mumbai Experience - 5-7 years Key Responsibilities : • To establish and manage a robust Compliance Program to commensurate with the Business strategies of the Organization through the below activities: - Review and disseminate all applicable regulatory guidelines, with clear analyses of impacts, actions to be taken and timelines to the relevant units. - Examine relevant regulatory aspects while approving Products and Processes - Ensure the policies of the organization are in line with the regulatory requirements - Provide guidance and recommendation for corrective actions as appropriate - Recommend solutions to Compliance Related matters - Frequent interactions with Business to identify Compliance gaps and ensure resolution of the same. • To identify Compliance Risks on an ongoing basis, carry out periodical Compliance Risk Assessment • Design Compliance Monitoring Program basis the Compliance Risk Assessment to enable ongoing monitoring and enable the functions to be at satisfactory level • Manage and coordinate compliance audits and inspections by regulatory authorities, ensuring timely responses and corrective actions. • Regulatory liaising and carry out following activities: - Vetting of correspondences / compliance before submitting to regulators - Coordination with Departments and Regulators during regulatory inspections - Timely submission of data as sought by regulators - Dissemination of inspection reports, collation of compliance, validation of compliance, reporting to Board / Board Committee • Provide compliance training and awareness programs to employees and stakeholders. Qualifications: • CS/LLB/LLM/Bachelor's/Masters degree preferred • 5-7 years of experience in compliance and regulatory affairs within the financial services sector, with a strong preference for experience in the NBFC industry. • Strong understanding of RBI guidelines and other relevant regulations. • Proven experience in leading and managing compliance teams. • Excellent communication and interpersonal skills.

Role & responsibilities Managing and assisting in Companys Secretarial functions & Corporate Governance Deliver and Implementation of Compliance Framework. Co-ordinate with Plants regarding compliance of applicable laws to the listed Company. Compliance of all applicable SEBI Laws, Insider Trading Regulation and Takeover etc. Prepare Agenda of Board, Committee, Shareholders Meetings. Coordinate with all concerned department and collecting, vetting and formatting all necessary information required for Board, Prepare Presentation. Drafting Agenda for various meetings, filing all necessary forms with Statutory Authorities (MCA, SEBI and Stock Exchanges etc.) Drafting/Vetting of Loan Agreement, JV and other allied activities. Liaoning with Govt. Dept., Regulatory Authorities & External Agencies Including ROC, SEBI, Stock Exchange, Banks & Financial Institutions. Digitization of entire statutory records of the Company. Implement the automated system to monitor the compliances under Insider Trading Regulations other applicable laws.

INTERVIEW WILL BE IN THE NEXT WEEK Educational Qualification & Experience: - The candidate must be the member of the Institute of Company Secretaries of India with minimum experience of 2+ years. Desirable Competencies: - - The candidate should be fully conversant with compliances under the Companies Act, 2013. - Secretarial standards and Listing Agreement. - Well versed with drafting and finalization of Directors Report and General Meeting Notices. - Conducting meetings - Regularly filing of various legal documents and returns with the Registrar of Companies and Directors'regulator. - Corporate Governance requirements. - Borrowings and Issue of securities on private placement. - Knowledge of compliances under NBFC regulations.

Role & responsibilities 1. Statutory Compliance and Governance: Ensure the company complies with provisions of the Companies Act, 2013 , and other applicable laws. Maintain statutory registers, including the register of members, directors, and charges. File necessary returns, reports, and declarations with the Ministry of Corporate Affairs (MCA) and the Registrar of Companies (RoC) . Handle compliances related to board meetings, annual general meetings (AGMs), and other shareholder meetings. 2. Board and Committee Support: Organize and facilitate board meetings, committee meetings, and AGMs. Draft agendas, notices, and minutes for meetings in compliance with statutory requirements. Advise the Board of Directors on corporate governance practices and ensure effective implementation. 3. Legal and Regulatory Advisory: Advise the company on corporate laws, securities laws , and other related laws. Ensure compliance with regulations of the Securities and Exchange Board of India (SEBI) , Reserve Bank of India (RBI) , or any industry-specific regulators. Assist in drafting and reviewing legal agreements, contracts, and MOUs. 4. Liaison and Representation: Act as the primary point of contact between the company, regulatory authorities, and stakeholders. Represent the company during inspections, audits, and legal disputes with government authorities or regulators. 5. Secretarial Audit: Conduct secretarial audits to ensure compliance with corporate and other laws. Prepare and submit the Secretarial Audit Report as per legal requirements. 6. Financial and Tax Compliance Support: Assist in compliance with Taxation, accounting , GST , Income Tax , and other financial regulations. Work with finance teams on filings and disclosures required under financial laws. 7. Corporate Governance and Ethics: Implement policies and procedures to promote transparency, accountability, and ethics within the organization. Monitor compliance with corporate social responsibility (CSR) provisions, if applicable. 8. Risk Management: Identify legal and regulatory risks and recommend mitigation strategies. Ensure compliance with labor laws, environmental regulations, and other industry-specific standards. 9. Mergers, Acquisitions, and Restructuring: Oversee compliance during mergers, acquisitions, and corporate restructuring. Handle legal documentation and liaise with regulatory bodies for approvals. 10. Stakeholder Communication: Prepare annual reports, disclosures, and communications for shareholders and stakeholders. Manage investor relations and disclosures as required under SEBI guidelines for listed companies. Preferred candidate profile Must be a qualified Member of the Institute of Company Secretaries of India (ICSI) . An accounting knowledge or additional certificates(i.e. In finance ,tax) are advantageous.

Role & responsibilities We are Looking CS who has experience in handling company secretary role individually & the compliances. Also, having around 5 to 10 years experience. Ensure the company complies with all statutory obligations under the Companies Act and other applicable laws. Maintain and update all statutory records, registers, and documents. Draft agendas, prepare board meeting packs, record minutes, and follow up on board decisions. Coordinate with internal departments and legal advisors on contracts, property matters, licenses (especially hotel industry-specific like FSSAI, Pollution Control Board, Excise, etc.), and regulatory filings. Handle ROC filings and liaison with regulatory bodies including Ministry of Corporate Affairs, SEBI (if applicable), and local municipal authorities. Monitor and renew statutory licenses relevant to hospitality operations. Advise management on legal risks, corporate governance standards, and regulatory changes impacting hotel operations. Ensure timely preparation and filing of annual reports, returns, and disclosures. Facilitate communication between shareholders, the board, and executive management. Support in investor relations, joint ventures, or expansion projects as needed. Key Requirements: Qualified Company Secretary (ACS / FCS) with membership in ICSI. 510 years of relevant experience, preferably in the hospitality, real estate, or service sector. Strong knowledge of the Companies Act, FEMA, labor laws, and hotel-specific regulatory frameworks. Excellent communication, drafting, and organizational skills. Ability to work independently, manage multiple stakeholders, and maintain discretion and confidentiality. Familiarity with hotel operations, licensing, and government inspections. Preferred candidate profile Associate/Fellow member of the Institute of Company Secretaries of India (ICSI). Knowledge of SEBI guidelines, BSE compliance portals, and MCA filings is essential. Experience in Private Limited/ Listed company / Public Limited Only experienced profiles are appreciated Both Male & female can apply. Any locations candidates ready to relocate to Madurai is preferred. Perks and benefits Salary Best in the Industry - 10 Lakhs to 15 Lakhs based on the experience PF, ESI, Bonus, Medical Insurance Interested Contact 7358273332

Company Secretary Trainee About Navi Navi is one of the fastest-growing financial services companies in India providing Personal & Home Loans, UPI, Insurance, Mutual Funds, and Gold. Navi's mission is to deliver digital-first financial products that are simple, accessible, and affordable. Drawing on our in-house AI/ML capabilities, technology, and product expertise, Navi is dedicated to building delightful customer experiences. Founders: Sachin Bansal & Ankit Agarwal Know what makes you a Navi_ite : 1.Perseverance, Passion and Commitment Passionate about Navis mission and vision Demonstrates dedication, perseverance and high ownership Goes above and beyond by taking on additional responsibilities 2.Obsession with high quality results Consistently creates value for the customers and stakeholders through high quality outcomes Ensuring excellence in all aspects of work Efficiently manages time, prioritizes tasks, and achieves higher standards 3.Resilience and Adaptability Adapts quickly to new roles, responsibilities, and changing circumstances, showing resilience and agility Responsibilities : Drafting first draft of all board documents, and filings under the Companies Act, SEBI regulations, and foreign exchange laws (should we raise external foreign capital); Undertaking research on questions of law / compliance for opinions to be shared with directors/ internal or external stakeholders; Handling data requests for statutory and internal audits; Supporting requests for updation of websites in line with regulatory requirement; Preparing first draft of documents related to borrowings related compliances such as term loans, NCDs and commercial papers etc; and Updating statutory registers of the various entities. Qualifications : Qualified their Company Secretary (CS) professional program, and are required to complete mandatory training of 21 months before obtaining membership from the Institute (ICSI). Strong analytical and interpersonal skills with an ability to work and take considered decisions in a fast-paced environment; Exceptional communication (both written and verbal) skills.

Role & responsibilities Provide compliance advisory on Digital Lending and product journeys as per RBI guidelines Interpret regulatory circulars and notify senior management on potential compliance risks Partner with business teams to ensure regulatory compliance for new/existing products Product lifecycle experience as project manager Vet internal policies, forms, and business circulars from a compliance perspective Handle RBI inspection processes and assist in preparation/closure of RAR reports Conduct compliance training for CAROs/business stakeholders Test processes/controls and track regulatory observations across units Provide inputs for senior management dashboards and compliance risk reports Liaise with peer banks and regulators for clarifications and bench-marking Preferred candidate profile Possess an understanding of all Regulatory and Banks internal guidelines pertaining to Digital Lending and Product journeys and ensuring Bank's compliance as per said guidelines. Able to analyze the impact of Regulatory Circulars /Directions/Notifications issued by RBI/ any other regulator and inform the Senior Management about the Compliance Risk emanating if the guidelines are not implemented within the Regulatory timelines as prescribed by the Regulator. Partner with Business Departments on various aspects of Regulations applicable to their Business and providing them solutions on matters referred by them in new and existing products and processes. Track the implementation of actionable emanating from the guidelines, in coordination with respective Business teams (wherever required) Assist in RBI Inspection process, discussion & closure of RAR Report Conduct trainings for CAROs/ respective business teams on requirements under Compliance Culture

Chartered Accountant / Inter CA / MBA Finance with 5 to 7 Years of Experience in Credit Control Assessment preferably in Agro Chemicals / Chemicals Mfg. Industry. Formulate & ensure credit control policies aligned with company goals & risk appetite. Required Candidate profile Lead Credit Control Operations across multiple territories & customer segments including dealers, distributors & international clients. Ensure Compliance with SEBI Listing Obligations, Companies Act. Perks and benefits Negotiable - Depending Upon Candidate & Experience

Ensure compliance with SEBI,Monitor compliance with circulars,Manage SEBI filings, annual audits,Implement and monitor compliance checks,Assist in drafting and maintaining Compliance Manuals

Seeking cs to ensure compliance with the Companies Act, SEBI regulations, and corporate governance. Handle filings, board meetings, records, shareholder communication, and liaison with ROC, SEBI, and stock exchanges ICSI member, 2+ years experience

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

Handle Secretarial & legal matter including Maintenance of all Records , Board Meeting, AGM & EGM ,Compliances relating to SEBI,BSE ,NSE,RBI,FEMA, LODR, ROC, NSDL, Filing of various Form return & XBRL, Handling Registrar ,Shareholder ,Reply Notices. Required Candidate profile Self- driven with the attitude to work independently,Excellent Verbal & Written Communication Skills.Should have good drafting skill, and Knowledge E Filing of Various Form & Return & Legal Matters.

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

# Compliance with stock exchange regulations # Ensuring compliance with statutory regulations and laws # Filing documents with regulatory & government authorities # Facilitating board meetings and annual general meetings # Regular financial reporting Required Candidate profile Interested one can share their resumes at hr@clnenergy.in