643 Sebi Jobs - Page 3

Responsible for establishing and maintaining statutory registers, records relating to secretarial compliances under the Companies Act, SEBI Act, SEBI Regulations in particular SEBI (PIT), Regulations, 2015, SEBI(SAST) Regulations, 2011, SEBI (LODR), 2015, SEBI (DP) Regulations, 2018, RBI compliances, statutory registers, minute books of board, committees, general meetings etc. for the Company and its group companies. Compliance of Secretarial Standards. Knowledge of RBI regulations. Handled secretarial work of Section 8 companies, trusts. * Preparation of all notices Board, committee meetings, Board Agenda, Annual Report on secretarial matters including Directors' report, resolutions & minutes of board, committee meetings, General Meetings, circular resolutions etc. * Listing Compliances on BSE and NSE including filing of various intimations, announcements through BSE Listing Centre and NEAPS respectively required to be filed under SEBI (LODR), Regulations, 2015 * IEPF filing of various forms under IEPF Rules and maintenance of records. *Compliances under SAST (Substantial Acquisition of Shares and Takeovers) Regulations and Insider Trading Regulations. *Matters relating to FEMA (including Annual filing with RBI). Filing with RBI for Section 8 companies, trusts, etc. * Should be well versed with the Companies Act, Rules, SEBI Act, SEBI Regulations, Depositories Act and other Acts as applicable * Liaising with ROC, MCA, SEBI, BSE, NSE, NSDL, CDSL, RTA, RBI. * Secretarial compliances & other related jobs of group companies. Should have worked for min 3 years in secretarial department of medium sized listed company on BSE/NSE. Also worked for Section 8 companies and trusts.

Responsible for establishing and maintaining statutory registers, records relating to secretarial compliances under the Companies Act, SEBI Act, SEBI Regulations in particular SEBI (PIT), Regulations, 2015, SEBI(SAST) Regulations, 2011, SEBI (LODR), 2015, SEBI (DP) Regulations, 2018, RBI compliances, statutory registers, minute books of board, committees, general meetings etc. for the Company and its group companies. Compliance of Secretarial Standards. Knowledge of RBI regulations. Handled secretarial work of Section 8 companies, trusts. * Preparation of all notices Board, committee meetings, Board Agenda, Annual Report on secretarial matters including Directors' report, resolutions & minutes of board, committee meetings, General Meetings, circular resolutions etc. * Listing Compliances on BSE and NSE including filing of various intimations, announcements through BSE Listing Centre and NEAPS respectively required to be filed under SEBI (LODR), Regulations, 2015 * IEPF filing of various forms under IEPF Rules and maintenance of records. *Compliances under SAST (Substantial Acquisition of Shares and Takeovers) Regulations and Insider Trading Regulations. *Matters relating to FEMA (including Annual filing with RBI). Filing with RBI for Section 8 companies, trusts, etc. * Should be well versed with the Companies Act, Rules, SEBI Act, SEBI Regulations, Depositories Act and other Acts as applicable * Liaising with ROC, MCA, SEBI, BSE, NSE, NSDL, CDSL, RTA, RBI. * Secretarial compliances & other related jobs of group companies. Should have worked for min 3 years in secretarial department of medium sized listed company on BSE/NSE. Also worked for Section 8 companies and trusts.

Postgraduate / CA / CS / CFA / MBA (Finance) Job Responsibilities Assistant Vice President - Compliance About the Role: The Assistant Vice President Compliance will play a critical role in ensuring full adherence to regulatory frameworks applicable to the Exchange. This includes proactive compliance with SEBI regulations, internal control frameworks, and various statutory obligations. The role requires strong engagement with regulatory bodies, and other stakeholders, to uphold the highest standards of integrity and governance. Key Responsibilities: Ensure full compliance with SEBI Regulations, Byelaws, and Exchange Rules and Regulations. Monitor and implement SECC Regulations, ensuring accurate filings and timely submissions. Draft and issue circulars / directives / clarifications to market participants in line with regulatory updates. Serve as a single point of contact for SEBI, statutory auditors, and other regulatory inspections. Handle internal and external audits related to compliance and regulatory affairs. Regularly review, update, and implement the Code of Conduct for employees and market participants. Ensure implementation of anti-money laundering (AML) measures and conduct periodic compliance testing. Coordinate with other departments to monitor regulatory compliance across all Exchange functions. Maintain up-to-date compliance documentation, records, and registers as mandated by SEBI and internal policy. Engage in regulatory advocacy by analyzing circulars, consulting on draft regulations, and ensuring proactive alignment. Contribute to board-level reporting, policy-making, and strategic compliance advisory. Key Skills & Competencies: In-depth knowledge of SEBI, SECC Regulations, and Exchange operations. Proven expertise in Capital Markets regulatory environment. Ability to interpret and apply legal regulatory updates to operational scenarios. Strong drafting and communication skills. Proficiency in MS Excel, compliance monitoring tools, and data analysis. Exchange/market infrastructure background preferred. High levels of integrity, discretion, and analytical thinking with a proactive compliance mindset.

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 employees working with corporates and having salaried relationship with us on the basis of their needs. They are also responsible for customer mapping and handling queries to ensure customer satisfaction. Key Responsibilities Identify sales opportunities for corporate salary accounts by building new relationships with corporates Manage business relations with existing corporate customers to increase the depth of existing relationships Achieve sales targets as assigned by the organization on a monthly basis Conduct market enhancement activities within the corporates to enhance the business Record and track all engagement activities through the CRM system Comply with KYC/SEBI rules, regulations, and legislation governing the financial services industry Responsible for the growth and cross sell to the mapped relationships Responsible for BDE incentives Qualifications Graduate with less than 10 year of experience / MBA with minimum 3 years experience Role Proficiencies Good communication (both verbal and written) skill in both English and the local language Excellent lead generation and conversion skill Ability to handle pressure and meet deadlines Ability to work successfully as a part of a team High sales orientation to meet the sales targets consistently Need to have good presentation skills and high standards of integrity Market and competition knowledge #ComeAsYouAre "We are dil se open. Women, LGBTQIA+ and PwD candidates of all ages are encouraged to apply"

ACS,Statutory Complianc,Filing Statutory DocumentsPreparing & various statutory documents with regulatory authorities like Registrar of Companies (RoC),SEBI & other.Ensuring Compliance with Laws & Regulations,Managing Shareholder Communications.Legal Required Candidate profile Regulatory Advisory.Providing Legal Guidance.Managing Correspondence & Communication.Maintaining Document Retention Policy.Supply Chain Compliance. Product Safety & Liability.Environmental Regulation

Role & responsibilities Implement and monitor compliance with SEBI regulations Administer code of conduct under PIT Regulations Maintain Restricted List and Structured Digital Database Prevent misuse of unpublished price-sensitive information (UPSI) Manage trading windows closure when UPSI is available Monitor trades for deviations from code of conduct Maintain accurate compliance records Report to Board, stock exchanges, and depositories Handle investor grievances Investigate market malpractices Educate investors on securities markets Ensure designated persons understand UPSI responsibilities Analyze trades of designated persons Conduct due diligence for pre-clearance of trades Preferred candidate profile • Regulatory expertise and SEBI guidelines understanding , must posses Securities market knowledge and consistently remain updated with compliance changes. • Company Secretary and compliance officer with Minimum 8 years of experience.

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, trust, real estate & corporate laws . Strong drafting , communication (English/Hindi), and client-handling skills. Preferred: Internships/experience in law or financial services . Knowledge of fund structuring, GIFT City , or international regulations. What We Offer: Work with top AIFs, REITs, and real estate clients. Fixed office hours : 10:00 AM 6:30 PM (Mon to Sat), Jaipur location. Career growth in financial & regulatory services . Competitive compensation . Only shortlisted candidates will be contacted.

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 selling products and services to the employees working with corporates and having salaried relationship with us on the basis of their needs. They are also responsible for customer mapping and handling queries to ensure customer satisfaction. They manage the Key mandates and are owners of the mapped relationship market share and on-boarding premium accounts Key Responsibilities Identify sales opportunities for corporate salary accounts by building new relationships with corporates Manage business relations with existing corporate customers to increase the depth of existing relationships Achieve sales targets as assigned by the organization on a monthly basis Conduct market enhancement activities within the corporates to enhance the business Record and track all engagement activities through the CRM system Comply with KYC/SEBI rules, regulations, and legislation governing the financial services industry Manage key existing relationships to maintain customer satisfaction and affiliation Responsible for increasing the market share of the products in the region Qualifications: Optimal qualification for success on the job is: Graduate with less than 10 year of experience / MBA with minimum 3 years experience Role Proficiencies: For successful execution of the job, the candidate should possess the following: Good communication (both verbal and written) skill in both English and the local language Excellent lead generation and conversion skill Ability to handle pressure and meet deadlines Ability to work successfully as a part of a team High sales orientation to meet the sales targets consistently Need to have good presentation skills and high standards of integrity Market and competition knowledge

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 grievances. Liaise and co-ordinate with RTA, CDSL, NSDL, etc. for transfer, transmission and dematerialization of shares; Co-ordination with Statutory and Regulatory Authorities (ROC, RBI, SEBI, MCA), Depositories including handling regulatory audits and inspections; Actively involved in the tracking, interpretation, and end to end implementation of circulars and regulations issued by the Exchanges, Depositories & SEBI and communicating the same to relevant teams with actionable; Ensure all periodic and ad-hoc regulatory filings are submitted correctly and in time; Updation of Statutory registers and records; Streamline and improve existing compliance and operational processes; Any other work related to secretarial matters as may be assigned.

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 queries, draft submissions for ACB/Board, and submit regulatory reports as required. The role also involves interacting with regulatory authorities such as SEBI and IRDA, as well as collaborating with middle and senior management within the Bank. Overall, the position entails a strategic focus on Regulatory Compliance and proactive engagement with stakeholders to uphold the Bank's compliance standards effectively.,

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 ensuring all filings of forms, returns, and documents are completed. You will be expected to interface with regulatory bodies such as ROC, SEBI, Stock Exchanges, RBI, and others to ensure all related compliances are met. Key skills required for this position include the ability to provide support to various functions of the company on compliance matters, a deep knowledge of corporate laws including the Companies Act, SEBI Act, rules, and regulations, particularly Takeover regulations and Insider Trading Guidelines. You will also be expected to advise, guide, support, and assist senior management in all legal, secretarial, board, and shareholder matters, as well as in dealings with regulators and external stakeholders. If you have a strong background in corporate compliance, a keen eye for detail, and excellent communication skills, this role offers an exciting opportunity to contribute to the growth and success of the company while ensuring adherence to all legal and regulatory requirements.,

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 Maintain statutory registers and assist in corporate secretarial functions as required Preferred candidate profile Candidates who have completed 21 months of CS training CS Inter or CS Final appearing candidates with IPO exposure Willing to work in a dynamic corporate legal/compliance environment

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 such as NIST, ISO27001, PCI-DSS, COBIT, etc. Experience of handling IT audits and reviews. Good understanding on technology topics related to cyber security, encryption, architecture resiliency , business continuity, disaster recovery, IT Governance, Third party outsourcing risk and information security/technology risk. Certification - CISA, CISSP, ISO27001 Soft Skills Good presentation and report writing skills is mandatory. Excellent communication skills and confident demeanor Experience of working with client stakeholders Good problem-solving skills. Preferred candidate profile

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 communication and organizational skills. Ability to work independently and as part of a team. Proficient in Microsoft Office and other software applications. Strong analytical and problem-solving skills. Ability to maintain confidentiality and handle sensitive information.

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 employees working with corporates and having salaried relationship with us on the basis of their needs. They are also responsible for customer mapping and handling queries to ensure customer satisfaction. Key Responsibilities Identify sales opportunities for corporate salary accounts by building new relationships with corporates Manage business relations with existing corporate customers to increase the depth of existing relationships Achieve sales targets as assigned by the organization on a monthly basis Conduct market enhancement activities within the corporates to enhance the business Record and track all engagement activities through the CRM system Comply with KYC/SEBI rules, regulations, and legislation governing the financial services industry Responsible for the growth and cross sell to the mapped relationships Responsible for BDE incentives Qualifications Graduate with less than 10 year of experience / MBA with minimum 3 years experience Role Proficiencies Good communication (both verbal and written) skill in both English and the local language Excellent lead generation and conversion skill Ability to handle pressure and meet deadlines Ability to work successfully as a part of a team High sales orientation to meet the sales targets consistently Need to have good presentation skills and high standards of integrity Market and competition knowledge #ComeAsYouAre "We are dil se open. Women, LGBTQIA+ and PwD candidates of all ages are encouraged to apply"

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.