390 Sebi Regulations Jobs

Key Responsibilities: Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons / Affiliates/ Referral Partners including meeting them physically if required. Conduct regular compliance audits and assessments to identify potential risks and areas for improvement for Authorised Persons/Affiliates/ Referral Partners. Prepare and submit regulatory filings, reports, and documentation as required by SEBI. Responsible for conducting regular training to the Business development team and Authorised Persons on compliance-related matters and promoting a culture of compliance within the organization. Collaborate with internal teams to gather necessary information for comp...

Position: CA/CS Location: Daryaganj Working Days: Monday to Saturday Timings: 9 AM to 6 PM Salary: 12 LPA Roles & Responsibilities: Handling with statutory, internal and tax auditors as per regulatory requirements. Ensure compliance with Stock Exchange regulations and related guidelines. Manage GST, Income Tax, Labour Law, SEBI regulations, and other statutory laws . Draft and review various professional correspondences, notices, and representations. Handle accounting, finance, and compliance-related matters for stock broking activities . Manage stock exchange-related tasks including margin requirements, clearing exposure, and settlement processes with hands-on experience. Banking credit fac...

Role & responsibilities Ensure compliance under Companies Act, 2013 board/committee meetings, filings, registers, corporate governance. Handle FEMA & RBI compliances FDI, ODI, ECB, FC-GPR/FC-TRS, FLA, and related filings. Manage FCRA compliance foreign contributions, reporting, and disclosures. Oversee SEBI & IPO matters – LODR, PIT, listing compliances, disclosures, IPO documentation, coordination with SEBI/Stock Exchanges. Liaise with regulators – MCA, SEBI, RBI, MHA, Stock Exchanges, Depositories. Conduct compliance audits, due diligence, and risk management . Advise on corporate restructuring, fundraising, M&A, JV, foreign collaborations . Supervise junior staff and ensure smooth coordin...

Hi, Greetings from SketchHR Manpower Solutions! We are excited to share some excellent career opportunities with one of our esteemed clients, a leading stock broking firm, currently looking to strengthen their Legal & Compliance team. Please find the details below: Legal & Compliance Roles - Capital Markets Location: Santacruz, Mumbai (multiple vacancies) | Chennai (2 vacancy) Open Roles: Senior Surveillance Lead (6+ years) Compliance Manager (2+ years) Surveillance Officer (3+ years) About the Company Join a reputed trading and investment firm with a strong foothold in capital markets. We are driven by innovation, growth, and client trustwhile prioritizing the highest ethical standards and ...

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

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 s...

Key Responsibilities: Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons / Affiliates/ Referral Partners including meeting them physically if required. Conduct regular compliance audits and assessments to identify potential risks and areas for improvement for Authorised Persons/Affiliates/ Referral Partners. Prepare and submit regulatory filings, reports, and documentation as required by SEBI. Responsible for conducting regular training to the Business development team and Authorised Persons on compliance-related matters and promoting a culture of compliance within the organization. Collaborate with internal teams to gather necessary information for comp...

5+ Years Hyderabad Company Secretary (CS) Department: Secretarial Skills Required: Qualified Company Secretary (CS) with at least 5 years of post-qualification experience. Additional qualifications such as LLB will be an added advantage. Job Summary We are seeking a highly skilled and experienced Company Secretary (CS) with a minimum of 5 years of post-qualification experience. The ideal candidate will play a critical role in ensuring compliance with corporate laws, regulations, Ethics Compliance and Governance requirements. This role involves reviewing and performing various secretarial compliances and supporting the legal and regulatory functions of the company. Key Responsibilities Secret...

You will be responsible for overseeing operational processes, ensuring the smooth functioning of transactions, compliance with regulatory requirements, efficient client servicing, and coordination with various internal and external stakeholders. This role demands strong organizational skills, attention to detail, and a deep understanding of mutual fund operations. Key Responsibilities Oversee daily mutual fund operations and ensure timely processing of transactions. Monitor compliance with regulatory requirements and company policies. Identify and implement process improvements to enhance operational efficiency. Stay updated on industry regulations (such as SEC rules) and ensure mutual fund ...

Roles and Responsibilities : Legal & Regulatory Compliance: Ensure the company complies with legal requirements and timely filings with regulatory bodies like the Registrar of Companies (MCA), SEBI BSE (mandatory) , and other applicable authorities. Statutory Records & Filings: Maintain and update statutory books and records, draft resolutions. Corporate Governance: Advise the board on corporate governance best practices and ensure policies are kept up-to-date and approved. Documentation & Agreements: Assist in drafting and reviewing legal documents and agreements, and manage correspondence related to company matters. Stakeholder Coordination: Coordinate with internal and external stakeholde...

Audit Areas: Internal Audit Statutory Audit Management Audit Risk Assessment and review of Internal Controls Stock Audit Government Audit Pre-Audit Management Consultancy Bank Audit Preferences: Qualified Chartered Accountants with experience of either Statutory Audit or Internal Audit will be preferred. Knowledge of SEBI Regulations, Company Laws and allied laws will be considered as an asset. Experience of listed company audit will be considered as an asset.

Role: Company Secretary Exp: 8-15 Years Location: Delhi Role Objective: We are looking for a Qualified Company Secretary (CS) with minimum 8+ years of post-qualification experience , specifically in handling Initial Public Offering (IPO) and SEBI/ROC compliance matters . The ideal candidate will work closely with senior management and merchant bankers to manage end-to-end IPO preparation and execution, along with ongoing secretarial and corporate governance responsibilities. Key Job Role and Responsibilities: 1. Managing secretarial compliances under Companies Act, 2013 and secretarial standards such as drafting and filing of forms, returns with the Registrar of Companies, drafting of board ...

We are hiring for one of our Aerospace manufacturing client. Position- Head -Lead and Compliance Location- Devanahalli Experience 12+yrs (Manufacturing industry) Work Mode- WFO Key Responsibilities: Legal & Regulatory Compliance - Ensure full compliance with applicable laws including Companies Act, SEBI LODR Regulations, Insider Trading Regulations, and other SEBI guidelines. - Liaise with regulatory bodies such as SEBI, NSE, BSE, ROC, and MCA for timely filings and disclosures. - Oversee statutory compliance across business operations, including aerospace-specific regulations. Corporate Governance - Advise the Board and senior management on legal and regulatory matters. - Draft and review b...

Role Overview: You are being sought after as a seasoned professional to take charge and enhance the Investor Relations function for a large, listed conglomerate with diversified business interests. Your role will involve facilitating transparent communication between the company, its investors, analysts, and other external stakeholders. You will work closely with internal leadership teams to ensure alignment on financial and strategic messaging. Key Responsibilities: - Develop, implement, and manage a robust Investor Relations strategy to improve engagement with investors, analysts, and rating agencies. - Serve as the primary point of contact for existing and potential investors, addressing ...

Job Designation: Company Secretary Location: Malad west Working Day: Monday - Saturday Experience: Minimum of 2 years of experience as a Company Secretary in a listed company Qualification : Company Secretary Time : 10:00 AM - 6:30 PM Salary : 8 LPA - 9 LPA Key Responsibilities: Corporate Governance & Compliance: Ensure compliance with SEBI regulations, Companies Act, Stock Exchange listing regulations, and other relevant laws. Advise the Board of Directors on corporate governance practices, ensuring alignment with best practices and regulatory standards. Organize and facilitate Board meetings, AGMs, EGMs, and ensure timely submission of agendas, notices, and minutes. Oversee compliance with...

Compliance with SEBI regulations, stock exchange rules Internal Audits & Inspections Reporting & Filings Policy development & implementation Grievance Redressal Training & Awareness Surveillance & Monitoring Coordinate with regulators(NSE,BSE,SEBI)

Role: Chief Financial Officer Exp: 20-30 Years Location: Delhi Industry: Construction and Infrastructure Role Objective: The ideal resource will bring a proven track record in managing large-scale Financial Operations, Securing Funding for Growth, and leading the process of Entering in Capital Market through IPO initiatives . Define and drive the Financial Strategy of the company . Ensure Stature and Regulatory Compliance, Governance, and Financial Reporting Standards to meet regulatory expectations. Key Requisites and Essentials: Banking Relationships: Strong network of senior-level Connect in both Private an Public Sector Bankers and PE Firms. proven ability to leverage these relationships...

* Maintain statutory records & filings with Companies Act * Prepare board meetings, AGMs & EGMs * Ensure compliance with company law requirements * Manage shareholder communications * Ensure compliance with SEBI Regulations

As a motivated and detail-oriented Semi-Qualified or Qualified Company Secretary (CS), you will be joining our corporate secretarial and legal team. Your role will involve handling secretarial and legal functions in a listed company, assisting in various statutory, compliance, and legal activities under the Companies Act, 2013, SEBI regulations, and other applicable laws. Key Responsibilities: - Assist in the preparation of agendas for Board Meetings, Committee Meetings, and General Meetings. - Draft minutes for Board Meetings, Committee Meetings, and General Meetings, ensuring accurate documentation and compliance. - Ensure compliance with the provisions of the Companies Act, 2013, SEBI (LO...

As a Corporate Lawyer with 45 years of experience, you will be a vital part of the legal team at Baynine Ventures in Navi Mumbai, working from the office. Your role will involve expertise in mergers & acquisitions (M&A), contract law, and corporate regulatory compliance, ensuring the company's legal and regulatory interests are protected while contributing to significant investment and commercial decisions. **Key Responsibilities:** - Draft, review, and negotiate various commercial and investment contracts such as NDAs, shareholders agreements, JV agreements, SPAs, and vendor contracts. - Provide legal advice on M&A activities including due diligence, deal structuring, and documentation. - E...

• Manage Share Transfers, Demat Conversions & Shareholder Communication • Handle Director Disclosures, Appointments, Resignations & Filings • Ensure SEBI, ROC, NSDL/CDSL & Exchange compliance • File Returns, Audit Reports & Governance Disclosures Required Candidate profile • Prepare Board/General meeting Docs & Minutes • Maintain Statutory Registers & Resolve Grievances • Liaise with Regulators & oversee Legal Compliance • Coordinate DPs & Monitor Corporate Actions

Compliance:BUCG - Group Compliance Team About Compliance Compliance department assists the Board and top management in managing the compliance risk arising out of legal or regulatory sanctions, financial loss or reputational loss that the Bank may suffer on account of its failure to comply with the applicable laws, regulations or code of conduct applicable to banking activities. This entails adherence to guidelines issued by regulators (Reserve Bank of India, Securities and Exchange Board of India etc) statutory provisions under various legislations (such as Banking Regulation Act, Foreign Exchange Management Act, Prevention of Money Laundering Act ec.) as well as the standards and codes pre...

Role Overview: As an Associate Director at KPMG in India located in Bengaluru, you will be responsible for providing tax & regulatory advice on M&A transactions and re-structuring. Your role will involve keeping up-to-date on developments in tax and regulatory space, leading multiple complex tax engagements, building larger business opportunities in M&A tax, conducting tax planning for clients, providing expert advice on M&A tax laws and regulations, and managing client relationships to ensure seamless execution. Additionally, you will be involved in performance management of the team, work allocation, identification of training and development needs, and ensuring adherence to risk and other...

As a Manager in Capital Markets & Investment Banking Advisory at Visure Investment Affairs Pvt. Ltd., your role will involve leading and executing various capital market transactions, advising clients on equity fundraising strategies, and ensuring compliance with regulatory guidelines. You will be responsible for managing end-to-end deal execution, conducting financial analysis, and developing relationships with key stakeholders in the industry. Key Responsibilities: - Lead capital market transactions such as IPOs, Rights Issues, QIPs, Preferential Allotments, and Bonds. - Advise clients on equity fundraising strategies, market positioning, and transaction structuring. - Ensure compliance wi...

Job Description: Come join our Regulatory Division to provide high quality guidance on complex regulatory frameworks to mid to large corporate clients from diverse industries. As an integral part of our team, you will focus on rendering advisory assignments pertaining to Companies Act 2013 along with SEBI Laws & FEMA/FDI provisions etc to such clients. Indicative CTC & Growth Prospects Amongst best in Industry, Commensurate with skill set, experience and linked to meritocracy Key Responsibility Areas (KRAs) Advisory & Assistance under Companies Act 2013 Advisory and Opinions on matters related to Companies Act, 2013 Incorporating Companies, Limited Liability Partnerships, Joint Ventures, Bra...