643 Sebi Jobs - Page 4

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

Our client is a greenfield medical equipment manufacturing company poised to revolutionize the Indian healthcare landscape. Specializing in innovative, next-generation products in the field of neurology - The Company is Looking for a Qualified Company Secretary Role & responsibilities A Qualified Company Secretary With 8 to 12 Years Experience Green Field experience will be an added advantage Excellent experience in conducting board meetings recording the MOM. Hands on experience in company law regulatory activities and solid in end to end compliances in regards to company law. Regulatory in regards to Green Field projects Willing to work out of Oragadam, if needed relocate. Candidates around Sriperumbudur, Chengalpattu, Kanchipuram, Tambaram, Padappai will be preferred. Preferred candidate profile Qualified Company Secretary Excellent Communication skills 1. Experience in Manufacturing 2. Experience in Green Field Units. Perks and benefits Opportunity to work and grow with greenfield medical equipment company Excellent learning opportunity Challenging Salary Top HNI investors opportunity to be part of the organization going public in few years.

To be responsible for supporting all middle/back office operational activities in Mumbai office for listed derivatives Cash Equity products. Main Responsibilities: Operational Excellence: Sound understanding of Indian capital market, Clearing House, Custody, Depository SEBI regulatory framework. Role entails KYC/KRA, responding to clients process related queries, trade processing, contracting, sending STP to custodians, bank reconciliations, and any other related activities for Cash Equity Derivative markets. Perform operational activities. Perform EOD related activities proactively escalate if any issues encountered. Ensure strict adherence to internal and external process guidelines. Would also be required to liaise with Exchange for debit notes, circulars, etc. work with custody, settlement, Client fund management, regulatory reporting etc. Work closely with Compliance to ensure legal, regulatory and audit requirements are complied with. Manage monthly MIS and other reports from time to time. Interfaces with regional team on all operations related matters Need to take corrective actions, when necessary, take ownership of issues in hand to see through till closure. Client and Relational Excellence: Maintain and establish good relationship with Business line (MARK), Regional Management, Clients, Vendors. Collaborate to deliver noticeable result. Manage escalations with a sense of client centricity commitment. Demonstrate responsibility, trustworthy agility. Participate in projects, NPCs new client onboarding initiatives People and Culture: Participate in team meetings/White board. Instill team work culture towards achieving goals at a team level. Demonstrate SG core values: Team Spirit, Innovation, Responsibility commitment with client centric approach as a core element. Digital Innovation: Think innovatively on the BAU area assigned to come up with process improvement ideas. Help team manager in various efficiency initiatives. Profile required Academic Background (degree and major): Post-Graduation Relevant Working Experience in number of years: Minimum 5 years of experience working for Indian Market Skills Competencies required: Candidate from broking experience with independent client servicing skills preferred (Preferred) Working knowledge of industry related systems including Bancs is desired (Preferred) Working knowledge and understanding in brokerage operations and local regulations of NSE and BSE including KYC matters Product knowledge on financial futures and options products and other investment vehicles is essential Proactive, self-motivated and team player mentality (with hands-on approach); Effective verbal written communication and presentation skills. Need to have knowledge to manage treasury accounting activities on daily basis

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

DICKEY ASSET MANAGEMENT PRIVATE LIMITED Job Description for Financial Analyst :- The DHFIN Group comprises of three verticals - Asset Management, Alternative Investment Fund and Financial Advisory. We provide comprehensive financial and advisory services to corporates at various stages of their lifecycle. Our core services constitute buyout and management of stressed assets, the revival of companies under insolvency and liquidation. (website - www.dhfin.in) Office Location : DLF Building No. 5, Epitome Tower B, Phase II, DLF Cyber City, Gurugram, Haryana. Timings: 10:00 AM to 6:30 PM. Working Days: Monday to Saturday (except Second and Forth Saturdays) Expected Date of Joining: Immediate joining Probation Period: 6 months Job Description: We are seeking a highly skilled and detail-oriented Financial Analyst to join our team. The successful candidate will be responsible for analyzing financial data, preparing financial reports, and providing insights to support business decisions. This is a critical role that requires strong analytical and problem-solving skills, as well as excellent communication and interpersonal skills. Key Responsibilities: 1. Perform financial forecasting, reporting, and operational metrics tracking. 2. Analyze financial data, create financial models, and Credit Notes for decision support. 3. Report on financial performance and prepare for regular leadership reviews. 4. Analyze past results, perform variance analysis, identify trends, and make recommendations for improvements. 5. Work closely with the team to ensure accurate financial reporting. 6. Evaluate financial performance by comparing and analyzing actual results with plans and forecasts. 7. Provide analysis of trends and forecasts and recommend actions for optimization. 8. Recommend actions by analyzing and interpreting data and making comparative analyses. 9. Identify and drive process improvements, including the creation of standard and ad-hoc reports, tools, and Excel dashboards. 10. Increase productivity by developing automated reporting / forecasting tools. 11. Perform market research, data mining, business intelligence, and valuation comps. 12. Maintain a strong financial analysis foundation creating forecasts and models. 13. Proficiency with Microsoft Excel is mentioned in virtually any financial analyst job description. 14. Candidates should be well versed in the concepts of Macroeconomics, Statistics, and Probability. Candidates should have: 1. Masters degree in Finance, Accounting, or related field/Qualified CA 2. Minimum 2-3 years of experience in finance, accounting, or a related field. 3. Strong analytical and problem-solving skills. 4. Excellent communication and interpersonal skills. 5. Ability to work independently and as part of a team. 6. Strong attention to detail and organizational skills. 7. Proficiency in financial software, such as Excel, Financial Planning and Analysis (FP&A) tools, and accounting systems. 8. NISM-XIX-C/D certification will be preferred. 9. Strong knowledge of financial concepts, including financial statement analysis, budgeting, forecasting, and financial modeling. 10. Knowledge on Investment Analysis and Investment Strategies in stressed assets, other ARCs and AIFs. 11. Working knowledge of financial transactions and corporate structures 12. Willing to travel out station occasionally. Benefits: Competitive salary package Provident Fund, Health insurance, mobile bill re-imbursement and other benefits Opportunities for professional development and growth Dynamic and collaborative work environment 2 leaves Per month till probation period. If you meet the above qualifications and are eager to contribute to a dynamic finance team within a corporate and alternative investment Fund, we encourage you to apply by sending your CV to hr@dhfin.in

Key Responsibilities: Client Relationship Management: Establish and maintain strong, long-term relationships with existing and potential clients, including HNWIs, institutional investors, and corporate clients. Act as the primary point of contact for clients, addressing their needs, offering solutions, and providing high-level advisory on capital market investments. Regularly meet clients to understand their financial goals, risk tolerance, and investment preferences to recommend appropriate financial products and services. Business Development & Client Acquisition: Identify new business opportunities and actively generate leads through networking, referrals, and market research. Grow the client base by acquiring new institutional and retail clients, expanding business with existing clients, and cross-selling other financial products. Develop and execute strategies to enhance the firm's market position, ensuring the long-term success and growth of the client portfolio. Investment Advisory: Provide tailored investment solutions across various asset classes such as equities, fixed income, derivatives, mutual funds, and alternative investments. Offer insights into market trends, economic conditions, and investment opportunities, and ensure clients are informed about market developments. Collaborate with research teams to create and provide customized investment reports and strategies based on client needs. Portfolio Management & Monitoring: Oversee and manage clients portfolios, ensuring investment performance aligns with their goals, risk profiles, and market conditions. Regularly review portfolio performance and re-balance to maximize returns while managing risk exposure. Provide regular updates and reports on portfolio performance to clients and suggest portfolio adjustments as necessary. Cross-functional Collaboration: Work closely with the trading, compliance, legal, and product teams to ensure seamless service delivery and compliance with regulations. Collaborate with the research team to gain insights into market trends and generate investment ideas for clients. Support the sales and marketing teams to align on customer strategies and promotional activities. Regulatory Compliance & Risk Management: Ensure that all client activities, including investment transactions and portfolio management, comply with regulatory standards (SEBI, RBI, etc.) and internal policies. Provide advice on risk management and asset allocation to minimize exposure and optimize returns. Reporting & Documentation: Maintain accurate records of client interactions, transactions, and portfolio details in the CRM system. Prepare and deliver client reports, including portfolio performance, market updates, and financial plans, on a periodic basis. Leadership & Mentorship: Lead and mentor a team of junior relationship managers or associates, providing guidance on client management, sales strategies, and portfolio management. Ensure the team maintains a high level of service, compliance, and client satisfaction. Collaborate with senior management to refine service delivery, improve team performance, and achieve company objectives. Required Qualifications: Bachelor's degree in Finance, Business Administration, or a related field (MBA/PGDM preferred). Minimum 5-10 years of experience in client relationship management, preferably in capital markets, wealth management, or investment banking. Strong understanding of capital markets, including equities, bonds, mutual funds, derivatives, and alternative investment options. Expertise in portfolio management, asset allocation, and risk management strategies. In-depth knowledge of capital market regulations (e.g., SEBI, RBI guidelines). Certifications such as CFA (Chartered Financial Analyst) , NISM (National Institute of Securities Markets) , or other relevant financial certifications will be a plus.

Key Responsibilities: Client Relationship Management: Establish and maintain strong, long-term relationships with existing and potential clients, including HNWIs, institutional investors, and corporate clients. Act as the primary point of contact for clients, addressing their needs, offering solutions, and providing high-level advisory on capital market investments. Regularly meet clients to understand their financial goals, risk tolerance, and investment preferences to recommend appropriate financial products and services. Business Development & Client Acquisition: Identify new business opportunities and actively generate leads through networking, referrals, and market research. Grow the client base by acquiring new institutional and retail clients, expanding business with existing clients, and cross-selling other financial products. Develop and execute strategies to enhance the firm's market position, ensuring the long-term success and growth of the client portfolio. Investment Advisory: Provide tailored investment solutions across various asset classes such as equities, fixed income, derivatives, mutual funds, and alternative investments. Offer insights into market trends, economic conditions, and investment opportunities, and ensure clients are informed about market developments. Collaborate with research teams to create and provide customized investment reports and strategies based on client needs. Portfolio Management & Monitoring: Oversee and manage clients portfolios, ensuring investment performance aligns with their goals, risk profiles, and market conditions. Regularly review portfolio performance and re-balance to maximize returns while managing risk exposure. Provide regular updates and reports on portfolio performance to clients and suggest portfolio adjustments as necessary. Cross-functional Collaboration: Work closely with the trading, compliance, legal, and product teams to ensure seamless service delivery and compliance with regulations. Collaborate with the research team to gain insights into market trends and generate investment ideas for clients. Support the sales and marketing teams to align on customer strategies and promotional activities. Regulatory Compliance & Risk Management: Ensure that all client activities, including investment transactions and portfolio management, comply with regulatory standards (SEBI, RBI, etc.) and internal policies. Provide advice on risk management and asset allocation to minimize exposure and optimize returns. Reporting & Documentation: Maintain accurate records of client interactions, transactions, and portfolio details in the CRM system. Prepare and deliver client reports, including portfolio performance, market updates, and financial plans, on a periodic basis. Leadership & Mentorship: Lead and mentor a team of junior relationship managers or associates, providing guidance on client management, sales strategies, and portfolio management. Ensure the team maintains a high level of service, compliance, and client satisfaction. Collaborate with senior management to refine service delivery, improve team performance, and achieve company objectives. Required Qualifications: Bachelor's degree in Finance, Business Administration, or a related field (MBA/PGDM preferred). Minimum 5-10 years of experience in client relationship management, preferably in capital markets, wealth management, or investment banking. Strong understanding of capital markets, including equities, bonds, mutual funds, derivatives, and alternative investment options. Expertise in portfolio management, asset allocation, and risk management strategies. In-depth knowledge of capital market regulations (e.g., SEBI, RBI guidelines). Certifications such as CFA (Chartered Financial Analyst) , NISM (National Institute of Securities Markets) , or other relevant financial certifications will be a plus.

You will be responsible for designing and developing Oracle Forms (10g/11g/12c/19c) and Oracle Reports. Your role will involve writing complex SQL queries, stored procedures, functions, packages, and triggers using PL/SQL. You will work on various database objects such as tables, views, sequences, synonyms, and indexes. It will be your responsibility to develop and maintain critical business modules including account management, trade, billing, and demat processing. Additionally, you will be expected to perform performance tuning, exception handling, and debugging of PL/SQL code. Collaboration with QA/test teams for user acceptance testing and functional testing will be essential. Furthermore, you will need to handle production support issues and resolve user queries on a priority basis. You will also participate in requirement gathering, technical design documentation, and impact analysis for change requests. Interacting with clients for functional clarifications, change requests, and issue resolution will be part of your routine tasks. Preferred skills for this role include experience in the financial domain or working with depository/account systems such as NSDL/CDSL integration. Familiarity with SEBI/RBI compliance and statutory reporting will be beneficial. The ability to work under pressure, meet strict deadlines, possess good communication skills, and have experience in client interaction is desired. The ideal candidate should hold a B.E. in Engineering (any discipline - Civil/IT/CS preferred) and have a minimum of 4 years of experience in PL/SQL. This is a full-time job position located in Navi Mumbai, Maharashtra. You must be willing to reliably commute or plan to relocate before starting work. In summary, the role requires expertise in Oracle Forms and Reports development, proficiency in PL/SQL, experience in financial domains, and strong communication skills. If you meet these requirements and are ready to take on this challenging opportunity, we look forward to receiving your application.,

WE'RE HIRING! We are looking to fill the position of Surveillance Officer in our organization. Location: Santacruz, Mumbai Experience: 6 - 8 Years Qualification: Graduate / Postgraduate in Finance, Commerce, Economics or related field (NISM Certifications Preferred) KEY RESPONSIBILITIES: Monitor and analyze client and proprietary trades to detect suspicious patterns such as market manipulation, insider trading, or front running. Investigate alerts generated by NSE / BSE surveillance systems and internal monitoring tools. Handle regulatory communications, inspections, and ensure timely closure of observations. Prepare comprehensive reports on surveillance findings for internal and regulatory use. Enhance surveillance frameworks and offer guidance for compliance protocols. Stay updated with SEBI circulars, exchange guidelines, and industry best practices. SKILLS REQUIRED: Strong knowledge of SEBI, NSE, BSE regulations and surveillance mechanisms. Proficiency in interpreting trading data and analyzing trade behaviors. Experience with surveillance tools / platforms and regulatory reporting. Interested candidates can share their resumes at *vidhi.bhatt@ysil.in* and *rituja.jagtap@ysil.in* with the Subject Line: Surveillance Officer.

We seek a qualified and passionate individual to lead our Investment Advisory Division. The candidate must comply with SEBI s Principal Officer requirements for Investment Advisors (IA), possess strong equity research and portfolio management expertise, and have prior experience in establishing or managing an IA vertical. The role is based in Pune. KNOW MORE APPLY NOW Position: Senior Manager- Investment Advisory Division Company: DSIJ Pvt Ltd. DSIJ Pvt. Ltd. is India s leading equity research house and publishes the No 1 investment magazine, Dalal Street Investment Journal . With over four decades of expertise in equity markets, DSIJ offers in-depth research reports, stock recommendations, and investment strategies tailored for both retail & HNI investors. Joining DSIJ means becoming part of a reputed brand known for its strong analytical insights and commitment to empowering investors across India. Role Summary: We seek a qualified and passionate individual to lead our Investment Advisory Division. The candidate must comply with SEBI s Principal Officer requirements for Investment Advisors (IA), possess strong equity research and portfolio management expertise, and have prior experience in establishing or managing an IA vertical. The role is based in Pune. Location: Pune-based role; candidate must reside or be willing to relocate immediately. Key Responsibilities: Drive the investment advisory business division, providing strategic direction and operational oversight. Analyse client requirements thoroughly to determine and recommend appropriate investment strategies. Oversee equity research and portfolio management functions, ensuring alignment with client goals and market trends. Serve as Principal Officer of investment advisory business division as per SEBI regulations. Hire, train, and evaluate team members involved in investment activities, address performance issues effectively. Collaborate cross-functionally (research, compliance, technology, analytics) to enhance investment advisory offerings. Availability and enthusiasm to actively participate in webinars, seminars, client interactions, and industry forums as needed. Requirements: Postgraduate degree (MBA/CA/CFA) with specialization in Finance or Investments strongly preferred. SEBI IA certification (NISM-Series-X-A and X-B: Investment Adviser Certification) mandatory. Minimum 7-10 years of relevant experience in equity research, portfolio management, and investment advisory services. Strong analytical, financial modelling, equity research, and portfolio management skills. Passionate about equity research with an intense commitment towards excellence. Compensation: Competitive remuneration package commensurate with experience and qualifications.

Trade Execution: Accurately & efficiently execute buy & sell orders for clients in equities, derivatives Build & maintain long-term, trusting relationships with clients All trading activities adhere to SEBI regulations & internal compliance policies Required Candidate profile Graduate with 2-3 yrs experience in Stock Broking co as a Relationship manager/ Equity Dealer NISM Mandatory Strong analytical and problem-solving abilities. info.aspiringmantra@gmail.com

Trade Execution: Accurately & efficiently execute buy & sell orders for clients in equities, derivatives Build & maintain long-term, trusting relationships with clients All trading activities adhere to SEBI regulations & internal compliance policies Required Candidate profile Graduate with 2-3 yrs experience in Stock Broking co as a Relationship manager/ Equity Dealer NISM Mandatory Strong analytical and problem-solving abilities. info.aspiringmantra@gmail.com

Qualification:Member of ICSI with a valid Certificate of Practice (COP), or CS with B.Com and LLB, with minimum 3 years of relevant experience. Employment Type:Permanent 6 months probation Work Mode:Office-based Required Candidate profile RoleManage statutory compliances for company n group entities- LLPs.Monitor and review regulatory amendments, circulars from MCA,SEBI,Stock Exchanges.Keep the team informed of all relevant updates

Company Sectretary Location - Navi Mumbai Budeget -10-12 LPA Candidate should have experience in board meeting, Legal agreement preparation, good drafting is mandatory. Share your resume at odigostraining@gmail.com or call 8452025846

CS is one of the legal representatives of a company that performs and manages various regulatory functions. Company Secretary works as an in-house legal expert and compliance officer with the company.

Responsibilities: * Ensure compliance with Companies Act & SEBI guidelines * Prepare board meetings, AGMs & statutory filings * Manage company secretarial functions * Oversee corporate governance practices

As a Risk Management & Compliance professional in the Financial Services industry, your primary responsibilities will include: - Having a thorough understanding of Peak margin, Quarterly settlement, MTF, CUSPA process to effectively address queries/alerts from the Exchange. - Managing and overseeing audits mandated by NSE and BSE. - Ensuring the implementation of the latest circulars issued by SEBI/Exchanges/Depositories/PFRDA and following up with stakeholders for timely compliance. - Creating and sharing Compliance calendars with stakeholders, and ensuring their timely submission. - Handling both On-site and Off-site inspections conducted by SEBI/stock exchanges. - Providing an overview of new product launches and supporting the team in developing new products and processes. - Maintaining a Monthly Governance Dashboard and engaging in discussions with the Management based on the dashboard insights. - Acting as a liaison between the Exchange and internal teams. - Managing additional compliance tasks such as Segment Activation, Software approvals, and other related activities. This role requires a strong foundation in Risk Management & Compliance practices within the Financial Services sector, along with excellent communication and coordination skills to ensure seamless adherence to regulatory requirements and internal processes.,

As a member of the Groww Mutual Fund team, you will be part of an organization dedicated to providing mutual fund schemes tailored to meet the diverse needs and objectives of our investors. Anchored by principles of simplicity, transparency, long-term wealth creation, and customer focus, we pride ourselves on identifying investment opportunities that offer growth potential with solid fundamentals. Our mission revolves around creating steady, long-term wealth for our investors by uncovering promising opportunities and designing innovative schemes. We prioritize simplicity and transparency in our communication, ensuring that our investors can make informed decisions with clarity. Consistency in wealth creation is our goal, achieved through selecting securities that consistently compound returns to help investors achieve their financial aspirations. Customer centricity is at the core of our operations, with tailored products, informative resources, and unwavering support for our investors. At Groww Mutual Fund, innovation is key as we constantly strive to redefine wealth management through innovative schemes that cater to varying risk levels, time horizons, and liquidity scales. Our team embodies passion, commitment, and innovation, with a customer-first mindset and a drive to challenge norms. In this role, your key responsibilities will include daily compliance activities and ad-hoc reporting related to SEBI and AMFI, preparing/reviewing policies and procedures for annual review, coordinating internal audits, understanding PMLA guidelines and STR reporting, reviewing alerts from surveillance systems, maintaining compliance trackers, monitoring SEBI recovery and folio freezing orders, tracking PIT approvals, ensuring compliance with website requirements, supporting compliance in marketing materials, maintaining policy trackers, reviewing policy compliance, and assisting in committee and board meeting agenda preparation. To excel in this role, you should have a bachelor's degree in business administration, law, finance, or a related field, with an advanced degree preferred. A minimum of 4 years of experience in compliance, regulatory affairs, or a related field is required, along with a strong understanding of relevant laws, regulations, and industry standards. Excellent analytical skills, attention to detail, effective communication skills (both written and verbal), and proficiency in Microsoft Office Suite and other relevant software are essential for success in this position.,

Hiring for a CA/CS firm based in Kolkata. We are looking for qualified CS freshers as well as experienced Company Secretaries who have experience in CA/CS firms. Candidates from CA/CS firms are preferred. Roles and Responsibilities . 1. Organized Board and Committee Meetings , which includes all the pre and post compliance such as - an intimation of meeting to directors, auditors etc. 2. Timely preparation of the Minutes of Board Meeting, Committee Meetings, and Annual General Meeting and confirming all the relevant compliance as per Secretarial Standards. 4. Preparation of Annual Report including Notice of the Annual General Meeting and Boards Report as per the Companies Act, 2013 and the SEBI (LODR) Regulations, 2015. 5. Dealt with Preferential Issue of Convertible Share Warrants which included:- Taking shareholder's approval and in-principle approval, listing approval, trading approval from BSE Ltd. Allotment of shares, Lock-in, and dematerialization and correspondence for the same with NSDL, CDSL, and RTA. All the SEBI and Companies Act Compliance 7. Carrying out all the quarterly/half-yearly Compliance of Stock Exchange (in pdf / XBRL format). 8. Dealt with the appointment of Executive and Independent Directors; and Auditors of the Company which included:- Taking prior consent of director/auditor for appointment Taking Boards approval/shareholders approval as required Filing of relevant e-forms such as MGT-14, DIR-12, MR-1, ADT-1, etc. 9. Intimation to Stock Exchange under Regulation 30 SEBI (LODR) Regulations, 2015. 10. Preparation of Appointment Letters / Agreements for Directors. 11. Dealt with Secretarial Audit of the Company 12. Ensure compliance with Companies Act, SEBI regulations, ROC requirements, and other relevant laws

Responsibilities: * Maintain statutory records & file annual returns on time * Manage company secretarial functions & compliance with laws * Ensure ROC filings & listing agreement adherence * Need to lead the team of 5 CS.

Opening For Company secretary in Surat Location Exp.Min.2 years responsible to represent Company Law Board, SEBI, BSE, NSE, Registrar of Companies, Business Advisory to the board of directors of the company guiding them incorporate laws; Required Candidate profile corporate governance,strategic management; project planning; capital markets & securities laws

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"

Position: Company Secretary Location: Bandra, Mumbai Qualification: CS (Institute of Company Secretaries of India) Experience: Minimum 5 years as a qualified Company Secretary, with experience handling listed clients Key Responsibilities: Ensure compliance with the Companies Act, SEBI regulations, and other applicable laws for listed clients Handle the preparation and filing of statutory returns, forms, and reports with the MCA, SEBI, and stock exchange Draft and maintain statutory registers, records, and secretarial documents Assist clients in preparing Corporate Governance reports, annual reports, and disclosures as required under SEBI LODR Monitor changes in regulatory requirements and ensure timely compliance Liaise with regulatory authorities such as ROC, SEBI, Stock Exchanges, etc. Conduct Secretarial Audits for listed clients and prepare necessary reports Provide advisory support to clients on matters related to corporate laws, SEBI regulations, and other statutory requirements Support in drafting policies, charters, and internal compliance frameworks Desired Skills: Strong knowledge of the Companies Act, SEBI regulations, and LODR guidelines applicable to listed entities Excellent communication and drafting skills Attention to detail and the ability to manage multiple assignments Proactive approach in understanding and implementing regulatory changes Ability to liaise effectively with clients and regulatory authorities

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

Job Summary: We are seeking a detail-oriented and proactive Corporate Secretary to support our audit firms compliance, governance, and statutory obligations. The ideal candidate will ensure that the organization adheres to legal and regulatory requirements and maintains high standards of corporate governance. Key Responsibilities: Statutory Compliance & Filings: Ensure timely filing of statutory returns and documents with ROC, MCA, RBI, SEBI, and other regulatory bodies. Maintain statutory registers, records, and corporate documents as per the Companies Act and applicable laws. Board & Committee Meetings: Organize, coordinate, and record minutes of Board Meetings, AGMs, and committee meetings. Draft agendas, notices, resolutions, and minutes in compliance with legal standards. Corporate Governance: Advise management and partners on best practices in corporate governance. Ensure the firm's policies and procedures comply with applicable laws and ethical standards. Liaison & Representation: Act as a liaison with external regulators, legal counsel, clients, and government authorities. Represent the company in compliance audits and inquiries, as needed. Legal & Documentation Support: Assist in drafting legal documents, MOUs, NDAs, service agreements, and other corporate documentation. Monitor changes in relevant legislation and regulatory environment and update policies accordingly. Requirements: Qualified Corporate Secretary (CS) from ICSI. 6-10 years of relevant experience, preferably in an audit or professional services firm. In-depth knowledge of Companies Act, SEBI regulations, FEMA, and LLP laws. Excellent written and verbal communication skills. Proficient in MS Office and secretarial software/tools. Preferred Attributes: Strong organizational and multitasking skills. High integrity and professional ethics. Ability to work independently and in coordination with multiple teams. Work Timing : 9:30 AM - 6:00 PM Week offs : All Sundays / 2nd & 4th Saturdays