386 Sebi Jobs - Page 7

Role & responsibilities • Responsible for overall Compliance of AMC and Trustee Company. • Responsible for compliance under SEBI Regulations, Circulars issued there under & AMFI Guidelines (MF and PMS), • Responsible for reporting under SEBI (Substantial Acquisition of Shares & Takeover) Regulations & SEBI (Insider Trading) Regulations. • Supervising various Compliances as per SEBI Regulations on day-to-day basis, internal compliance systems, etc. • Drafting of Scheme Information Documents & Statement of Additional Information. • Review of Key Information Memorandum. • Review of Compliance Manual, Employees Securities Dealing Policy, etc. • Interacting with the statutory authorities for approvals & clarifications • Reporting of compliances to SEBI, AMFI, RBI, etc. • Liasoning with the auditors on compliance issues • Providing compliance updates to various departments • Monitoring & reporting of compliances relating to investors servicing to statutory authorities • Approving advertisements & other marketing material. • Issue of Notices & Addendums. • Ensure that the guidelines are adhered to for introduction of new schemes, change in load structure based on recommendations from marketing and sales. • Uploading of reports on SEBI Mutual Fund & PMS portals. • SEBI guidelines adherence for Scheme Information documents – both external (SEBI, Custodians) and internal (Sales, Fund Managers, Operations ) Ensure that all employees adhere to the SEBI guidelines.

Our client is Jr CS - With leading Construction Equipment's OEM - Pune Job Responsibilities : Support CS for Compliance of Companies Act, FEMA and laws applicable to the company. Support CS in Undertaking PAN India compliances including compliance of applicable Central/ state/municipal laws. Support CS in compliances of all laws applicable to the company. Coordination with Secretarial/Internal and Statutory auditors from time to time and ensuring on time closure of relevant audits. Keeping up to date with any regulatory or statutory changes. Support in Preparation of SOPs and policies for improvement of Corporate Governance and policies of internal matters. Vetting of legal agreements/documents and provide necessary inputs. Identify key risk areas and advise on mitigation plan Total Experience: Current Ctc (Fixed + Variables) : Expected Salary : Notice Period: Reason to job change : Education along with Passing Year : Family Details: Key Responsibility : Interested candidates can mail there cv at soniya.amormc@gmail.com

Trainee SEBI Secretarial FEMA -Senior Manager - 2 to 3 Years Exp - Hike on last drawn M&A-DM - Fresher (6lpa)/Exp Hike on last. Location is mulund, so candidate should be comfortable with commutation Qualified CS only

Executive Assistant to Executive Director: Position: Executive Assistant to Executive Director Location: Faridabad & other North locations. CMR Green Technologies Limited CMR Group is Indias largestproducer of Aluminum and zinc die-casting alloys. With 13 state-of-the-artmanufacturing plants across the country, CMR has become the preferred supplierfor many of Indias largest automotive industry leaders. Since its inception in2006, CMR has consistently outpaced competition by focusing on deliveringsuperior value to its stakeholders. This value is driven by a strong commitmentto technical advancements, quality enhancement, sustainability, andpeople-centric practices. We believe in an " Employee First " philosophy, ensuring that our people are at the core of our success. Our dedication tofostering an enriching work environment is reflected in our recognition asthe 'Most Preferred Place for Women to Work' and as one ofthe Top 25 Mid-Sized Indias Best Workplaces in Manufacturing for 2025 by GreatPlace to Work. As CMR continues to chart its growthtrajectory, we remain committed to innovation and excellence. We are alwayslooking for enthusiastic and dynamic individuals to join our team andcontribute to our continued success. Position: Executive Assistant to Executive Director Job Band/ Designation: BandA, Sr. Executive / AM No. of Posts: 01 Department: GeneralAdmin Reporting to: ExecutiveDirector Qualification: Essential Essential: Graduate/ Post Graduate Degree from Recognized Institute. Desired: Degree/Diploma in General Management (Regular). Experience: Around3-5 years of experience as an Executive Assistant where in 3 years currentlyhe/she must be associated with Senior Management Level. Job Profile: Calendar Management: Scheduled and managed executive calendars, including meetings and appointments. Prioritized and coordinated complex schedulingacross multiple time zones. Minimized scheduling conflicts to optimizeexecutive time. Travel Arrangements: Coordinated all travel logistics:flights, accommodation, transportation, visas. Created detailed travel itinerarieswith schedules and directions. Negotiated travel costs to staywithin budget. Meeting & Event Planning: Organized meetings and events, including venue selection and catering. Prepared meeting materials: agendas, presentations, and handouts. Managed event budgets and logistics. Communication: Managed executive email, prioritizing and drafting responses. Screened and directed phone calls, taking detailed messages. Drafted professional correspondence:letters, memos, reports. Office Management: Ordered and managed office suppliesand equipment. Maintained vendor relationships andnegotiated contracts, reduced cost by 10%. Ensured efficient office operations. Data Management: Maintained and updated databases. Generated reports for management. Ensured data accuracy andconfidentiality. Project Coordination: Assisted with project timelines andtracked progress. Coordinated project meetings andprepared minutes. Supported project documentation. Confidentiality: Handled sensitive information withdiscretion. Maintained confidentiality ofexecutive communications. Ensured secure handling ofconfidential materials. Problem-Solving: Identified and resolvedadministrative issues. Developed solutions to improveefficiency. Proactively addressed challenges. Tech savvy & familiar with new-age technologies. Core Competencies: Strong time management skills andability to coordinate and prioritize projects and assignments with littlesupervision. Must be self-directed and detailoriented in completing assigned projects and tasks. Able to maintain absoluteconfidentiality in all business matters required. Should be comfortable travelling toPlants and other locations as advised. General: Age - 25 -35Years CTC Range: - 3.5 LPA to 6.5 LPA. CTC Not a constraint for suitable candidate. Candidate should not be afrequent Job Changer. Notice Period: Joining Period Max30 Days. We can Buy Notice Period if required. Location: Corporate office, 7th Floor, Tower 2, L & T Business Park, 12/4 Delhi Mathura Road (Near Delhi BadarpurBorder) Faridabad, Haryana, 121003.

-Corporate Governance -Compliance with Legal and Regulatory Requirements -Board and Shareholder Meetings -Corporate Filings & Secretarial Records -SEBI and Stock Exchange Compliance -Other Duties Assigned by superior

Job Summary We are seeking a highly skilled and proactive Corporate Legal Manager to oversee and manage the legal and compliance functions for our growing organization . The ideal candidate will have a deep understanding of corporate law, IPO preparation, regulatory compliance, and contract management, with a proven track record in advising and mitigating risks in a pre-IPO environment. Location : Ciel HR (Ma Foi House), 2nd floor New No: 44, 6th Ave Rd, Block Q, Anna Nagar, Chennai, Tamil Nadu 600040, Indi WFO Interested candidates please share resume to namita.g@cielhr.com Key Responsibilities Provide strategic legal counsel to the executive team on corporate governance, mergers, acquisitions, and investments. Oversee compliance with applicable laws, regulations, and internal policies. Monitor legal developments relevant to the business and ensure timely adoption of necessary measures.Collaborate with financial, legal, and regulatory advisors to ensure smooth IPO execution. Prepare and review IPO-related documentation, including regulatory filings. Ensure compliance with Securities and Exchange Board of India (SEBI) or other relevant regulatory frameworks. Advise on legal implications of financial structuring and equity issuance.Draft, review, and negotiate contracts with clients, vendors, and partners. Ensure all agreements align with organizational objectives and regulatory standards. Develop and standardize templates for routine contracts.Establish and implement robust risk mitigation strategies. Oversee corporate governance policies and practices, ensuring adherence to industry standards. Conduct internal audits and ensure compliance with employment laws, labor regulations, and other sector-specific mandates.Lead and mentor the legal team to ensure high-performance delivery. Conduct training sessions for employees on legal and compliance-related matters. Build and maintain relationships with external legal counsel and regulatory bodies.

Roles and responsibilities: Performing duties as a Compliance Officer and Company Secretary in terms of the Listing Regulations and other applicable SEBI Laws, Companies Act and shall ensure compliance of SEBI Laws and Depositories Act as applicable. To ensure timely compliance of all the quarterly, half yearly, annual and event based compliances applicable to a debt listed Company under SEBI (LODR) Regulations, SEBI (PIT) Regulations and all other applicable SEBI Regulations To co-ordinate, correspond and liaison with BSE, NSDL, CDSL, Debenture trustees, lawyers, consultants and all such parties on behalf of the Company. Advising the board and management committees on all statutory and constitutional requirements to ensure that business is conducted in a proper and effective manner Involved in Public Issue, Listing and Securities Management depending on Company Strategy Prepare and maintain minutes, statutory books including registers of members, directors and secretaries; and filing of return with Registrar of Companies, Regional Director, NCLT, Stock Exchanges and Government in respect of company and its group companies. Preparation and filing of all necessary forms, returns with MCA/RoC as applicable under the Companies Act. Prepare necessary applications for allotment of land from state government authorities etc. and coordinate all related matters Applying due diligence to ensure compliance of all ROC/ statutory issues Advising the company on arbitration, negotiation and conciliation in commercial disputes between various parties Such other responsibilities as may be given by the Management

Role & responsibilities 1. Ensuring all Statutory Compliances under Companies Act, 2013, SEBI Regulations for Indian Listed Company 2. Ensuring Compliances under Companies Act, 2013, SEBI Regulations & FEMA. 3. Implementation of Companies Act 2013 & SEBI Regulations in the most effective manner in the organization 4. Drafting various policies/documents required under Companies Act, 2013 and SEBI Regulations 5. Administration & management of ESOP Schemes and ESOP Trust 6. Handling statutory meetings like Board Meeting, Committee Meetings, AGM / EGM, Postal Ballots, etc. 7. Building Regulatory framework and ensuring compliances for Indian and International subsidiaries. 8. Building Digital capabilities in the Secretarial Department 9. Preparation & Maintenance of Statutory Records like Minutes, Registers & Agendas 10. Drafting of Annual Report documents like CGR, Board Report etc. 11. Liasioning with various statutory authorities, internal/external stakeholders. Preferred candidate profile , Overall 3+ years of experience Qualification Company Secretary & Law Graduate

Role & responsibilities Statutory Compliances under companies Act 2013 & other acts Compliance on Corporate Governance matters Scheduling & Convening Board, Committee & General Meetings in compliance of CA 2013. Coordination for information with all the Departments for Board/Committee/General Meetings. Publication of the companys annual report and accounts. Handling Investors Services- IEPF matters Dividends disbursements & Compliance Facilitation of Information to the Stakeholders Auditors/Banks/ shareholders/ others Regularly tracking the regulatory changes and assisting the Management in implementing the applicable provisions. Furnishing applicable filings with the Registrar of Companies, MCA. Preferred candidate profile A qualified Company Secretary with Membership of Institute of Company Secretaries of India(ICSI) An LLB graduate

Ensuring that the company complies with all applicable corporate laws and regulations, maintaining smooth operations in line with statutory requirements. Assisting in drafting, preparation, and finalization of key corporate documents including notices, agendas, resolutions, and minutes of Board and General Meetings. Maintain and update statutory registers, records and fittings, ensuring that all documentation is up to date and compliant with regulatory requirements. Ensure that the company adheres to the provisions of the Companies Act, 2013 and other related laws. Stay updated on amendments and provide advice on any changes affecting the companys legal obligations. Assist in compliance with the SEBI listing obligations and Disclosure Requirements, ensuring timely filings disclosures. Prepare and file necessary forms and documents with the ROC ensuring all ROC related filings are completed within stipulated timelines. Support in maintaining and improving the companys corporate governance standards, ensuring the Board and its committees function effectively and comply with all statutory obligations. Coordinate with auditors, legal advisors and regulatory authorities to ensure compliance with statutory requirements and audits. Sills Required : Must have a Compliance Secretary (CS) qualification from The Institute of Company Secretaries of India (ICSI) Up to 2 years of experience in handling secretarial compliances, preferably in corporate or legal agreement. Thorough knowledge of the Companies Act 2013, SEBI, LODR and other relevant corporate laws. Proficiency in handling ROC filings and maintaining statutory records. Excellent written and verbal skills. Strong interpersonal skills and the ability to work collaboratively with different departments. Proactive approach in ensuring compliance and identifying areas for improvement. Proficient in using MS Office, especially MS Word and Excel.

Roles and Responsibilities Company Secretary Vacancy: We are hiring for the position of Company Secretary for Ahmedabad based listed company on urgent basis. Job Description: 1. Well versed with the provisions of Companies Act, 2013 & all the SEBI regulations. 2. Quarterly, annually and event based compliances of listed entity. 3. Maintain all company statutory documents and records. 4. Should be familiar with various ROC form filings. 5. Should have handled Statutory, Internal and Secretarial Audits. 6. Managing Board and Committee meetings, drafting the agenda, notices and resolutions, coordinating the Board meeting and post meeting corporate filing, minutes and listed company compliances etc. 7. Incorporation & closure of company, drafting, Alteration of Memorandum and Articles of Association and Shareholder agreement. 8. Exposure of Share issue, capital increase and other necessary compliances of private companies. 9. Should have hand holding experience in handling the listed companies and group companies. Desired Candidate Profile Qualification CS Experience: 2-4 years (Experience of listed company will be plus) Candidates who can join immediately will be given preference. Perks and Benefits

Job Purpose: To ensure compliance with regulatory requirements under SEBI (Prohibition of Insider Trading) Regulations, 2015, and internal codes of conduct relating to handling unpublished price-sensitive information (UPSI), trading windows, and disclosures. Role & responsibilities Develop, implement, and monitor the Code of Conduct for Prevention of Insider Trading in accordance with SEBI regulations. Maintain Structured Digital Database (SDD) as mandated under SEBI PIT Regulations. Monitor and manage the trading window closures/openings and ensure timely communication to designated persons. Track and analyze trading activity of designated persons and immediate relatives for potential insider trading risks. Collect and manage disclosures under PIT Regulations including initial, continual, and annual disclosures. Conduct training and awareness sessions on PIT regulations for designated employees and relevant stakeholders. Ensure secure handling and storage of Unpublished Price Sensitive Information (UPSI) . Liaise with regulators (e.g., SEBI, stock exchanges) and respond to queries, notices, or inspections. Investigate and report suspected breaches or violations of the insider trading policy. Coordinate with HR, IT, Legal, and business teams to ensure integrated compliance mechanisms. Maintain comprehensive documentation for audit trails and compliance reporting . Preferred candidate profile Education: Graduate/Post-Graduate in Law, CS/CAMS certification preferred. Experience: 3-7 years in compliance, legal, or regulatory roles, with hands-on experience in PIT regulations. Skills: Strong knowledge of SEBI PIT Regulations and SEBI LODR Regulations. Excellent communication and analytical skills. High ethical standards and attention to detail. Familiarity with compliance tools/software for SDD and trade monitoring. Job Location - Nariman Point, Mumbai Interested and relevant candidates can apply at astha.satam@abans.co.in

Job Title: Insurance Compliance Officer Location: Gurgaon Experience: 48 years CTC: Negotiable Industry: Insurance / Financial Services Employment Type: Full-Time Job Description: Centricity is seeking a skilled and experienced Insurance Compliance Officer to ensure ongoing adherence to all applicable laws and IRDAI regulations. The ideal candidate will bring 4–8 years of relevant experience, a strong understanding of compliance frameworks, and a proactive approach to regulatory change and risk management. Key Responsibilities: Ensure company-wide compliance with all applicable IRDAI regulations and insurance laws. Develop, implement, and update compliance policies, procedures, and SOPs. Track regulatory updates and ensure timely communication and implementation across departments. Review and approve marketing materials and collaterals to ensure compliance. Conduct internal compliance reviews and audits; identify and address areas of non-compliance. Recommend corrective actions and monitor their implementation to ensure timely resolution. Prepare periodic compliance reports for senior management and the Board. Maintain comprehensive records of compliance activities and dashboards. Ensure documentation is audit-ready for inspections by regulators. Establish and monitor internal controls to support an effective compliance framework. Drive automation initiatives for compliance tracking and alerts to internal stakeholders. Stay updated with the latest IRDAI circulars and regulatory changes. Prepare presentations and reports for leadership with compliance insights and strategies. Qualifications: Bachelor's degree in Law, Finance, or related field (LLB / CS/Non CS preferred). 3–6 years of experience in a compliance role within the insurance or financial services industry. Strong knowledge of IRDAI regulations. Excellent communication, analytical, and documentation skills. Experience with compliance automation and reporting tools is a plus. Interested candidates can share their resumes at shafali@centricity.co.in

Excellent drafting, communication, and stakeholder management skills Proficient in ROC filings and MCA portal usage Familiarity with compliance management tools and Excel Detail-oriented with strong legal & statutory interpretation.

1) Compliance Management: Ensures adherence to corporate laws and regulatory frameworks. 2) Governance: Maintains statutory records and supports board processes. 3) Filings: Handles MCA, SEBI, and other statutory filings. 4) Advisory: Guides on legal and corporate matters. 5) Meeting Management: Prepares agendas, minutes, and resolutions for board and shareholders

Job Title : AVP / VP Company Secretary Department / Function : Risk & Compliance / Company Secretary Location : Mumbai Reports to : Senior VP Company Secretary Employment Type : Full-Time Position Summary: As an experienced Company Secretary , the incumbent will be responsible for overseeing and executing corporate secretarial functions for select group entities in India and abroad. This includes ensuring robust corporate governance, statutory compliance, supporting the Board of Directors, and driving best-in-class governance practices in line with the Companies Act, 2013 and applicable international laws and standards. The role requires strategic leadership, stakeholder management, and hands-on operational execution. Key Objectives of the Role: Ensure effective corporate governance and compliance across domestic and international group entities. Provide strategic advisory to the Board and Senior Management on legal, regulatory, and corporate governance issues. Serve as the principal point of contact for all Board and shareholder matters. Candidate Profile: Subject Matter Expert (SME) in Corporate Law, Company Secretarial Practices, and Governance. Proven leadership in handling Board matters, statutory compliance, and complex transactions including M&A and JVs. High integrity, strong judgment, and exceptional communication skills. Experience & Qualifications: Experience : Minimum 14+ years of relevant work experience in a large corporate or multinational organization managing the Company Secretary function. Education : Bachelors Degree from a recognized university. Associate/Fellow Member of the Institute of Company Secretaries of India (ICSI) . Additional qualification in Law (LLB) is highly desirable. Key Responsibilities: Corporate Governance & Compliance Act as a trusted advisor to the Board and Committees on corporate governance, regulatory obligations, and fiduciary responsibilities. Plan, schedule, and manage meetings of the Board, Committees, and Shareholders including preparation of agenda, notice, resolutions, minutes, and tracking of action items. Maintain statutory registers, records, and ensure timely filings with MCA, ROC, RBI, and other authorities. Strategic Advisory & Risk Management Develop and implement a comprehensive compliance and governance framework aligned with global and domestic standards. Monitor regulatory changes and provide impact analysis and strategic guidance to the leadership team. Manage compliance for Foreign Direct Investment (FDI), FEMA, SEBI, and RBI regulations. Transactional Support & Legal Structuring Lead secretarial support for M&A, joint ventures, equity investments, incorporation of companies, and group restructuring initiatives. Oversee legal due diligence, contract review, negotiation, and closure of key corporate transactions. Stakeholder Engagement Collaborate with cross-functional teams (Legal, Finance, Tax, Business) to ensure seamless compliance and governance execution. Liaise with regulators, external legal advisors, consultants, and government departments as required. Documentation & Reporting Prepare and present quarterly/periodic board decks including financial analytics and governance KPIs. Maintain and regularly update the corporate structure in internal systems and global databases. Ensure timely and accurate reporting on all statutory, legal, and contractual obligations. Desired Competencies Deep understanding of Indian and international corporate laws, secretarial standards, and governance principles. Excellent interpersonal and communication skills, with the ability to influence senior stakeholders. Strong analytical mindset with the ability to handle complex legal and governance matters independently. High level of accountability, confidentiality, and ethical conduct.

Role & responsibilities 1. Accurate and timely execution of BOD and EOD process. 2. Monitoring Client Positions, Client / Dealer Limits and triggering the square off process for the clients. 3. Monitoring member positions limit violations / TM funds on NMASS. 4. Limit setting in NEAT and RTRMS 5. Effectively Tracking Market Movements and Risk Exposure. 6. Follow up of T + 1 +5 debit / MTM loss / Margin shortfall with clients / RMs. 7. New client set up, conversion, modification in the trading system. 8. Coordinate with in-house team for development of projects and User Acceptance Testing 9. Ensure all the activities are in adherence as per the compliance and risk policy. 10. Active participation in Mock session 11. Experience in SMTF product would be preferred. Preferred candidate profile 1. Knowledge of Equity/ Derivatives / Currency Market. 2. Should have minimum 5 years experience in Risk management 3. Knowing exchange new margin concepts. 4. Cleared NISM certificates.

Job Profile : 1. Board & General Meetings Management: • Organize, schedule, and facilitate Board Meetings, General Meetings, and Committee Meetings. • Prepare agendas, draft minutes, resolutions, and maintain meeting records. • Ensure compliance with Companies Act, SEBI, and other regulatory guidelines. 2. Regulatory & Statutory Compliance: • Ensure timely filing of resolutions, notices, and statutory forms with regulatory bodies. • Manage filings and reporting with the Ministry of Corporate Affairs (MCA), Registrar of Companies (ROC), Reserve Bank of India (RBI), and other authorities. • Maintain statutory registers, records, and compliance documents. 3. Corporate Governance & Secretarial Compliance: • Advise the Board and senior management on corporate governance best practices. • Ensure compliance with SEBI (if applicable), FEMA, and Companies Act requirements. • Handle disclosures, shareholder communication, and secretarial audits. 4. Corporate Restructuring & Due Diligence: • Assist in corporate restructuring, mergers, acquisitions, and compliance due diligence. • Ensure legal and regulatory compliance in joint ventures, demergers, and capital restructuring. • Support management in corporate actions like share transfers, ESOPs, and capital raising. 5. Legal Documentation & Contract Management: • Review and draft agreements, MOUs, contracts, and legal documents. • Ensure legal compliance in commercial agreements, business transactions, and regulatory filings. • Coordinate with external legal advisors on litigation, dispute resolution, and compliance matters. Desired Candidate Profile: • Excellent Communication skills • Experience in MS office tools

Mandatory : Strong Comm skills, Effective presentation skills,Travel readiness Administration work involved with IAPs. Develop,prepare content for MKE course upgradation. Managing Internal Comm,delivering content. Other investor education activities. Required Candidate profile Organize, coordinate,travel for SEBI Regional Seminars,Investor Awareness Programs (IAPs) (RISA) & brief investors on depository operations. Developing,editing,updating web content on regular basis. Perks and benefits To be disclosed post interviews

Role & responsibilities The provisional KRAs will be :- Mergers & Acquisitions (M&A) Opportunities/ New Business Opportunity Identify, evaluate, and support potential M&A opportunities from a legal standpoint. Conduct legal due diligence, risk assessment, and regulatory analysis for target companies. Draft, review, and negotiate transaction documents such as share purchase agreements, business transfer agreements, and shareholder agreements. Liaise with external counsel and ensure legal compliance throughout the transaction lifecycle. Compliance Management Ensure the companys compliance with all applicable corporate laws, SEBI regulations, labor laws, and environmental regulations. Monitor changes in legal and regulatory frameworks and implement necessary policy updates. Oversee statutory filings, licenses, and returns required under various laws and regulatory bodies. Develop and implement internal compliance systems and conduct periodic audits. Litigation Management Handle all company-related litigation matters civil, criminal, commercial, labor, and tax. Coordinate with external advocates, monitor case progress, and ensure timely responses and representation. Maintain and update litigation records and prepare periodic reports for management review. Evaluate the impact of litigation and provide legal strategy and risk mitigation advice. Corporate / Business Restructuring Provide legal support in corporate restructuring activities such as mergers, demergers, amalgamations, spin-offs, and asset sales. Draft and review restructuring schemes and related legal documentation. Ensure compliance with regulatory approvals (NCLT, SEBI, RBI, etc.) and oversee the legal execution of restructuring plans. Analyze implications of restructuring on business operations, tax, and contracts. Land & Property Matters Manage legal aspects related to land acquisition, lease, sale, and property development. Conduct title due diligence and resolve disputes pertaining to land and real estate. Ensure proper documentation, registrations, and regulatory clearances related to land. Liaise with government authorities for land conversion, zoning, and other statutory compliances. DGFT and DGTR Interfacing with the Directorate General of Foreign Trade (DGFT) and Directorate General of Trade Remedies (DGTR) for licenses, schemes, and compliance-related matters. Managing import-export legalities, anti-dumping investigations, export incentives, and other trade-related legal matters. Ensuring timely submissions and responses to queries, audits, and investigations from these bodies. Board & Corporate Governance Support the Board of Directors and Committees in legal and secretarial matters. Prepare and review board agendas, resolutions, minutes, and related documentation in line with Companies Act, 2013. Ensure corporate governance best practices and ethical compliance across the organization. Act as a liaison between legal and senior management for risk mitigation and strategic decision-making. Preferred candidate profile CS WITH LLB Preferred

Role & responsibilities Define, implement and manage operational processes as per regulatory framework to ensure exchange compliance. • Vendor management. • Able to build and manage teams for important functions like account opening, paying payout stock, and funds, DP account, customer modification, RMS, KYC, settlement, etc. • Responsible for customer support and seamless experience in a stock broking business. • Ensure process-oriented, TAT-driven customer support as per defined SOP. • Mentor and monitor the team to ensure a high level of accuracy and timely execution. • Coordinate with IT and Sales team for the development of online customer support process and Process automation Preferred candidate profile MBA/CA Finance from a good institute 10-15 years of Experience in stock broking operations Knowledge of back-office software like LD and CDSL Well-versed with the DKYC process and other broking norms

Excellent knowledge of compliances & regulatory matters required under Company Laws & SEBI Ability & Exp. of handling queries from Statutory Regulatory authorities Compliances under Companies Law & Regulatory matters

Role & Responsibilities: Key highlights of the role are listed below (purely indicative and not limiting):This position would include the mentioned set of responsibilities but not limited to: 1. Audit Planning & Execution: Conduct risk assessments to identify key areas of risk exposure and develop annual audit plans based on identified risks and priorities. Plan and Co-ordinate for execution of internal audits across various functions and business units at different locations. Ensure completion of audit as per the Audit Plan and Schedule Conduct walkthroughs, process reviews, and control testing to assess design and operating effectiveness. Ensure adherence to RBI guidelines, PCI-DSS compliance, and other applicable regulations. 2. Risk Management & Control Evaluation: Assess the adequacy and effectiveness of internal controls, policies, and procedures. Recommend improvements to strengthen risk management, fraud detection, and loss prevention mechanisms. Evaluate credit risk models, underwriting policies, fraud management frameworks etc. Perform data analytics-driven risk assessments to identify anomalies and control gaps. 3. Reporting & Compliance: Prepare audit reports based on audit findings, and risk assessments Ensure timely follow-ups on audit recommendations and track corrective actions. Monitor compliance with regulatory frameworks (RBI, SEBI, PCI-DSS, AML/KYC, etc.). Collaborate with external auditors and regulatory bodies during inspections. 4. Stakeholder Engagement & Advisory: Act as a trusted advisor to business units on risk mitigation and process optimization. Partner with risk and compliance teams to enhance governance, risk, and compliance (GRC) frameworks. Work with IT / Information security and fraud management teams to enhance cyber risk resilience and digital payment security. Conduct stakeholder feedback surveys. 5. Continuous Improvement & Technology Integration: Leverage AI, machine learning, data analytics and automation tools for predictive risk analytics. Promote the use of data-driven audit techniques Keep up with industry trends, regulatory changes, and best practices in credit card risk management. Applicants should possess the following attributes: Strong understanding of credit card lifecycle operations, underwriting, collections, chargebacks, fraud controls, finance, risk management etc. Strong understanding of audit principles, methodology, tools, processes and standards Experience of conducting Risk Based Internal Audit Strong understanding of audit principles, methodology, tools, processes and standards (e.g., risk assessments, planning, testing, reporting and continuous monitoring; COSO, IIA standards) Knowledge of RBI regulations, AML/KYC guidelines, PCI-DSS compliance. Strong understanding of regulatory landscape in India along with hands on experience of working on regulatory matters as outlined by key regulators like RBI and SEBI Excellent analytical, problem-solving, and stakeholder management skills. Ability to present audit findings effectively to related stakeholders Ability to coach and mentor others and create an inclusive work environment for team In-depth understanding of financial instruments including equity, fixed income, derivatives, structure products and other financial products and services

Immediate Joiner Preferred. Role & Responsibilities: Set up the processes and manage the secretarial compliances for the main company and its subsidiary/associate companies. We are seeking a qualified Company Secretary to provide administrative and governance support to our Board of Directors. The successful candidate will ensure compliance with regulatory requirements, maintain accurate records, and provide guidance on corporate governance matters. 1. Ensure compliance with relevant laws, regulations, and corporate governance standards. 2. Prepare and maintain accurate and up-to-date records, including minutes of Board meetings. 3. Provide administrative support to the Board of Directors, including coordinating meetings and preparing agendas. 4. Develop and implement policies and procedures to ensure effective governance. 5. Collaborate with external advisors, such as lawyers and auditors, as necessary. 6. Provide guidance on corporate governance matters, including compliance with listing rules (if applicable). 7. Develop and maintain relationships with stakeholders, including shareholders, regulators, and employees. 8. Ensure timely filing of statutory returns and compliance with regulatory requirements. 9. Maintain confidentiality and handle sensitive information with discretion.

Research Support Executive - Investment Research Department - Mumbai Investment Research Department No. of Openings 22-25 Qualifications Graduation Experience in Years 1-3 Scope and Responsibilities Compile reports & presentations from analyst research data with precision Structure & manage research databases & tools Ensure content consistency through collaboration Handle ad-hoc analysis projects with agility Disseminate analyst reports in line with SEBI guidelines Job Competencies Eye for Detail Analytical Mindset Task Prioritization Team Collaboration Technical Competencies MS Excel Advanced Capital Line Use MS Word Proficiency PowerPoint Skills Report Formatting Data Structuring Candidate Profile Skilled in MS Office Suite, especially Excel & PPT Exposure to research or capital market support functions SEBI RA Reg familiarity advantageous Working knowledge of company financial data tool