5 Sebi Lodr Jobs

The Compliance Officer in Stock Broking & Depository Participant department plays a crucial role in ensuring the company's adherence to regulatory and statutory requirements set by SEBI, Stock Exchanges (NSE, BSE), Depositories (CDSL), and other governing bodies. Acting as a liaison between the organization and regulators, the Compliance Officer focuses on risk mitigation, compliance reporting, and ethical governance. Responsibilities of the Compliance Officer include: - Ensuring regulatory compliance with SEBI, NSE, BSE, CDSL, and PMLA guidelines. - Monitoring daily operations to comply with circulars and directives from regulatory bodies. - Filing periodic regulatory reports such as SEBI Monthly/Quarterly/Annual reports, Exchanges surveillance reports, and Depository participant audit reports. - Maintaining internal policies in line with SEBI Stock Broker & DP Regulations. - Supervising client onboarding, risk profiling, PMLA checks, and AML procedures. - Monitoring client trades for suspicious activities and escalating alerts appropriately. - Facilitating internal audits, mock inspections, and regulatory inspections. - Maintaining statutory registers, records, and communication logs. - Handling client complaints and grievance redressal effectively. - Conducting compliance training for employees and disseminating regulatory circulars. - Reporting compliance updates and risk summaries to the Board of Directors. - Ensuring fair pricing, transparency, and cybersecurity compliance in business processes. - Acting as a point of contact with regulators and responding to regulatory correspondence promptly. Key Skills & Qualifications required for the role: - Educational Qualification: Graduate/Postgraduate in Commerce, Law, or Finance. Preferred: LLB /MBA Finance / Certified Compliance Professional. - Experience: Minimum 5-8 years in compliance roles within Stock Broking / DP operations. - Technical & Functional Skills: Understanding of SEBI regulations, NSE/BSE systems, CDSL platforms, PMLA, AML/CFT, FATCA guidelines, and compliance software/tools. - Behavioural Skills: High integrity, attention to detail, excellent communication, analytical, and problem-solving skills. - Regulatory Mandates: Must be designated as Compliance Officer as per SEBI regulations and report under SEBI (Stock Broker) Regulations and SEBI (DP) Regulations. Must maintain independence from sales, marketing, or trading activities for compliance. This position requires a dedicated individual with a strong regulatory compliance background and the ability to navigate complex regulatory frameworks effectively.,

This is Regarding Opening with a Leading NBFC as a Seceratarial Compliance - AVP !!! Experience: 7+years Qualification: CS (Qualified) Location: Mumbai Job Responsibilities: Provide the necessary records for secretarial, statutory, and internal audits. Assistance with SEBI and RBI audits and inspections. Drafting and Reviewing Policies As mandated by the Companies Act and SEBI LODR, draft or review policies pertaining to related party transactions, whistleblowers, and codes of conduct, among others. Preserving the records, books, and statutory registers mandated by the Companies Act, SEBI LODR, SEBI PIT, and other relevant laws. Knowledge of Regulation thorough knowledge of the Companies Act, SEBI PIT, SEBI LODR, and other relevant laws. Interaction Excellent verbal and written communication with stakeholders, regulators, and the board Analytical Capacity to analyze gaps, comprehend laws, and provide corrective measures. Technology adept at using SDD tools, MCA portals, BSE listing portals, and compliance tools. Adherence to the 2013 Companies Act&aposs provisions as well as related laws and guidelines. Adherence to the disclosure requirements and listing obligations set forth by SEBI for listed firms. ROC and MCA Coordination Communicate with the Ministry of Corporate Affairs and the Registrar of Companies as needed. Assure prompt disclosures in accordance with SAST, PIT, SEBI LODR, and other relevant standards. MCA, IEPF, SEBI, stock exchanges, depositories, RTA, and other stakeholders are coordinated with. Maintain the Structured Digital Database (SDD) and keep an eye on trading windows and insider trading regulations. Assemble the necessary paperwork for secretarial, statutory, and internal audits. Assistance with SEBI and RBI audits and inspections. Drafting and reviewing policies as needed by the Companies Act and SEBI LODR, including those pertaining to whistleblowers, related party transactions, and codes of conduct. Upholding the Companies Act, SEBI LODR, SEBI PIT, and other relevant laws' requirements for statutory registers, records, and bookkeeping. If Interested, Share Your Updated CV on this ID: [HIDDEN TEXT]. #CorporateCompliance #CompanySecretary #SEBIRegulations #CompaniesAct2013 #SEBILODR #ROCCompliance #MCAFilings #InsiderTradingCompliance #GovernanceMatters #RegulatoryAffairs #ListedCompanies #ComplianceManagement #BoardCommunication #SDDCompliance #LegalAndCompliance #CorporateGovernance #StakeholderEngagement #RegulatoryUpdates #FinancialReporting #ComplianceProfessionals #CS Show more Show less

We are Looking for Director Finance Location Gurgram ** From Listed Companies*** Key Responsibilities Controllership, Governance & Compliance Readiness ? Lead the end-to-end listing finance work stream including DRHP preparation, financial schedules, audit alignment, and Ind-AS compliance. ? Ensure adherence to SEBI ICDR, SEBI LODR, Companies Act, and regulatory frameworks including MCA and RBI as applicable. ? Establish and scale public-company-grade internal controls, delegation of authority, and governance policies. ? Act as the finance point of contact for external advisors including statutory auditors, bankers, lawyers, and tax consultants. ? Ensure accurate, timely, and audit-compliant financial reporting with zero tolerance for qualifications. ? Own the entire compliance charter including GST, TDS, income tax, transfer pricing, and regulatory filings. ? Strengthen systems and policies across revenue recognition, refunds, AR/AP, payment gateways, and audit trails. ? Uplift finance team maturity in stewardship, governance, data integrity, and cross-functional alignment. Strategic Financial Planning & Analysis ? Lead budgeting and forecasting across revenue, opex, capex, cash flows, and profitability metrics. ? Provide in-depth performance analysis including business KPIs, scenario models, and actuals vs. forecast. ? Advise leadership on margin improvements, cost optimization, and ROI of key initiatives. ? Drive board-level financial storytelling with investor-grade clarity and insights. ? Own financial due diligence support and investor presentations in coordination with CFO. Reporting, Insights & Automation ? Build MIS frameworks, dashboards, monthly reporting packs, and quarterly review documents. ? Automate financial reporting, reconciliations, and transaction-level processes for scale. ? Deliver actionable insights proactively to enable real-time decision-making by leadership. ? Champion data visibility, standardization, and drill-down analysis culture across the org. Team Building & Leadership ? Mentor and build a high-performing finance team with strong ownership and compliance rigour. ? Instill a culture of precision, speed, transparency, and audit-readiness. ? Drive collaboration across product, sales, legal, operations, and investor relations functions. Qualifications ? Chartered Accountant (CA) with 15+ years of progressive finance leadership experience. ?Minimum 35 years leading controller ship, audit, or listing initiatives in a mature or listed company environment. ? Deep expertise in Ind-AS, SEBI ICDR, SEBI LODR, DRHP lifecycle, Companies Act, and taxation (direct & indirect). ? Strong analytical skills with ability to interpret numbers into business insights and strategic choices ? Hands-on experience building internal controls, ERP systems, and audit-ready environments. What You Get ? A leadership role in the company. ? A chance to architect the financial backbone of one of Indias most innovative and trusted Vertical SaaS companies. ? Direct access to the CFO, Founder, and Board with influence on major business decisions. ? An outcome-driven, collaborative, and high-integrity culture that values precision and pace. Show more Show less

**Apply only if you fit the job** Hiring Fresher CS for listed firm Ensure compliance: SEBI LODR, Companies Act, FEMA Assist in Board meetings, filings, audits, disclosures Support ESG, governance, investor relations ICSI membership mandatory

Job Purpose: To closely work with the Company Secretary in ensuring compliance with the provisions of the Companies Act, 2013, Securities Contracts (Regulation)(Stock Exchanges and Clearing Corporations) Regulations, 2018 (SECC 2018), Securities and Exchange Board of India (Listing Obligations and Disclosure Requirements) Regulations, 2015 (SEBI LODR) and the applicable Secretarial Standards Job Responsibilities: Responsible for managing all the functions of secretarial department including those applicable to a listed company under the SEBI LODR Ensuring compliance with all the applicable provisions of the Companies Act, 2013, SEBI regulations / circulars, Secretarial Standards pertaining to company secretarial activities Well versed with the obligations of filing of forms and returns with the Ministry of Corporate Affairs / Registrar of Companies Drafting of corporate policies and SOPs for the Secretarial department, as applicable Ensuring compliance with Code of Conduct Ensuring all relevant registers and records are maintained as prescribed under the provisions of law and to ensure that the same are maintained properly for easy retrieval when required Responsible for convening and conducting all the Board and Board Committee meetings / General meetings of the Exchange and its subsidiaries / trust as required under the SECC regulations / SEBI LODR Regulations/Companies Act, 2013 Ensure timely follow up on the advises of the Board and its committees and ensure placing of a report on action taken on such advises at the next Board/Committee meetings Maintain cordial relationship with the Board of Directors and other stakeholders Contribute effectively for the fund raising activities Handling all the audits for secretarial activities viz. secretarial audit, CG audit, internal audit, SEBI inspection, etc. Provide effective grooming to the team by guiding them on all the relevant secretarial matters, motivate the team for taking initiatives to improve the processes / timely completion of secretarial activities, proper work allocation amongst the team members Knowledge of SAST Regulations, Insider Trading Regulations, SBO and other evolving concepts/regulations/guidelines/ policies applicable to listed companies Guide the management and the Board on the process to be followed for key corporate matters and their implications from time to time Periodically prepare list of critical items for bringing to the attention of the senior management issues that are pending Skills Required: Self-motivated and able to work with large groups of persons working in the organization Ability to work under pressure during and after meetings Analytical ability in detail Functional Competencies required: Logical Reasoning and Attentiveness Pro-active and Result oriented Knowledge and understanding of Exchange ecosystem and operations would be an added advantage Team building Behavioural Skills required: Good execution skills Attention to detail Judgement and Decision Making Planning & Organizing Visioning & Alignment Good communications skills