390 Sebi Regulations Jobs - Page 12

corporate governance, ensure legal compliance, manage Board/shareholder meetings, handle statutory filings, liaise with regulators, provide legal advisory and strengthen internal controls. Maintain compliance with SEBI regulations,stock exchange req.

We are looking for a detail-oriented Audit Executive to join our Compliance & Documentation team. The candidate will be responsible for conducting audits on transactional, regulatory, documentation, ERP, and DLT processes, ensuring full adherence to SEBI regulations, Companies Act, and internal policies. Role & responsibilities: A. Transactional Audit Verify execution of all required documents for debt transactions. Check condition precedent documentation and timelines. Ensure Due Diligence Agreements (DTA) and certificates from empaneled professionals (CA, CS, Advocates, Valuers) are in place. Confirm In-Principle approval from the Stock Exchange and creation of securities within regulatory...

1. Compliance with the requirements of the Companies Act, SEBI Regulations, Guidelines, Circulars and SCRA. 2. Prepare Agenda of Board, Committee, Shareholders Meetings. 3. Coordinate with all concerned department and collecting, vetting and formatting all necessary information required for Board. 4. Drafting Agenda for various meetings, filing all necessary forms with Statutory Authorities (MCA, SEBI and Stock Exchanges etc.) 5. Liaoning with Govt. Dept., Regulatory Authorities & External Agencies Including ROC, SEBI.

1. Compliance with the requirements of the Companies Act, SEBI Regulations, Guidelines, Circulars and SCRA. 2. Prepare Agenda of Board, Committee, Shareholders Meetings. 3. Coordinate with all concerned department and collecting, vetting and formatting all necessary information required for Board. 4. Drafting Agenda for various meetings, filing all necessary forms with Statutory Authorities (MCA, SEBI and Stock Exchanges etc.) 5. Liasoning with Govt. Dept., Regulatory Authorities & External Agencies Including ROC, SEBI.

We are looking for a qualified and experienced Company Secretary to join our team in Gurugram. The ideal candidate will play a crucial role in ensuring corporate governance, statutory compliance, and regulatory reporting in line with applicable laws. This is a strategic role offering exposure to senior leadership and cross-functional collaboration. Keywords Ensure compliance with Companies Act, 2013 and other relevant corporate and regulatory requirements. Manage board and committee meetings prepare agendas, draft minutes, and maintain statutory records. Handle ROC/MCA filings, including incorporation, annual returns, and other statutory submissions. Advise management on corporate governance...

Role & responsibilities Lead and manage secretarial functions for the company and its group entities in compliance with the Companies Act, 2013. Maintain and update all statutory registers and records as per regulatory requirements. Prepare and file annual returns, XBRL reports, charge forms, and other e-forms with the Registrar of Companies within prescribed timelines. Draft the Annual Report ensuring all statutory disclosures are included; coordinate finalization, printing, and dispatch to shareholders. Ensure timely filing of RBI-related returns such as FLA, ODI/APR, and quarterly IOS. Liaise with Finance and Treasury departments to monitor and ensure compliance with banking and treasury ...

Role & responsibilities Corporate Governance & Secretarial Compliance - Advise the Board and senior management on good governance practices aligned to Indian and global standards (OECD, IFC, etc.). - Ensure full compliance with the Companies Act, 2013, SEBI regulations (if applicable), FEMA, CSR, and other statutory provisions. - Manage the incorporation, conversion, merger, or winding up of entities in India or overseas. - Ensure timely filing of statutory returns, resolutions, and ROC/LLP filings for all group entities. - Coordinate and document Board, Committee, and General Meetings including digital/hybrid governance formats. - Maintain corporate records, shareholding registers, investor...

Hiring: Market Registration & Entity KYC Investment Management Operations (Mumbai, Hybrid) We are looking for an investment operations professional with 4-7 years of experience to join our team. Location : Mumbai (Hybrid) | Laptop Provided for WFH Notice Period : Immediate to 30days | Interview Mode : 1 Virtual, 1 In-Person | Timings: 1:30pm 10:30pm Apply now to saikeertana@twsol.com Key Responsibilities: Oversee market opening & renewal for global jurisdictions (India, Indonesia, Egypt, Slovenia). Collaborate with investment teams, custodians, and compliance for seamless market entry. Track SEBI & global regulatory updates and ensure timely communication. Manage KYC documentation and counte...

Greetings from Teamware Solutions!! We are hiring for Topmost Investment Banking Role: Market Registration Location: Mumbai (Preferred local candidates) Exp: 3-6 Years Notice Period: Immediate - 30 Days Interested candidates please share your updated resume to srividhya.g@twsol.com Primary Responsibilities - Work with Investment teams, Portfolio services to understand and prioritize market opening requirements per investment strategy. - Co-ordinate with client relationship managers, investment team and internal signatories to ensure timely completion of market opening along with relevant legalization requirements per jurisdiction as advised by custodians. - Ensure stakeholders are made aware...

Greetings from SoftTech!!! Founded in 1996 and headquartered in Pune, India, SoftTech Engineers Limited. is a leading software product company that started as an entrepreneurial venture in creating innovative software and intellectual property in the architecture, engineering and construction (AEC) domains. We constantly improve and maintain our high-quality solutions through dedicated, proactive market research and developmental efforts. https://softtechglobal.com/ Role : Company Secretary Job Responsibilities: Event wise, quarterly, half yearly, yearly compliances under the Companies Act, SEBI regulations Conducting Board, Committee and Shareholders meeting and handling Pre and post compli...

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different depa...

Role & responsibilities 1. Trade Surveillance: Monitor real-time and post-trade activities for detecting and prevent market abuse and fraudulent practices. Review and investigate alerts generated by surveillance systems Document investigation outcomes, escalate suspicious cases and maintain appropriate audit trails. 2. Anti-Money Laundering (AML) Monitoring: Supervise implementation of AML systems and processes in line with SEBIs PMLA Guidelines. Review alerts for suspicious transactions (STRs), large or structured transactions, and unusual fund movements. Conduct periodic AML risk assessments and support KYC/CDD reviews. 3. Dealer & Terminal Monitoring: Monitor activities of dealers and tra...

Job Title: Compliance Officer Location: Ahmedabad Employment Type: Full-Time About the Role: We are seeking a detail-oriented and proactive Compliance Officer to join our Asset Management Company. The candidate will be responsible for ensuring adherence to all regulatory requirements laid down by SEBI, AMFI, and other relevant authorities, while also supporting internal policies, controls, and risk management frameworks. Key Responsibilities: Regulatory Compliance: Ensure ongoing compliance with SEBI (Mutual Fund) Regulations , AMFI Guidelines, and circulars. Monitor and interpret changes in relevant laws, regulations, and guidelines applicable to asset management. File mandatory regulatory ...

About: - We are looking for a skillful and enthusiastic Company Secretary with at least of 3-5 years of post qualification experience in similar profile across industry. - The incumbent will be the sole owner of ensuring compliance under the Companies Act 2013 and the applicable SEBI Regulations as amended from time to time and other acts in respect of company and its group companies. Key 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, a...

About Bigul Join Bigul, a dynamic and innovative platform transforming the future of trading! Backed by the seasoned veteran of the industry, Bonanza group, Bigul is at the forefront of transforming the stock market with cutting-edge technology and customer-centric solutions. At Bigul, you'll find a vibrant and healthy work culture, growth opportunities, and the chance to make a real impact in the world of finance. If you're passionate about innovation, thrive in a fast-paced environment, and are looking for an exciting career with a forward-thinking company, Bigul is the place for you! ________________________________________________________________ About Business line: It plays a crucial r...

Job Title: Company Secretary Location: Galaxy by Auro realty, Hyderabad Company: Indosol Solar Private Limited Experience: 3-6 years Position Overview: Indosol Solar is seeking an experienced and dynamic Company Secretary to join our growing team. As a Company Secretary, you will play a key role in ensuring the effective and efficient administration of the company's corporate governance, legal, compliance, and secretarial activities. You will be responsible for providing high-quality support to the Board of Directors and senior management, while ensuring the organization meets all regulatory and legal requirements. Key Responsibilities: 1. Corporate Governance and Compliance: Ensure the comp...

Job Summary: We are seeking a " Compliance Officer" particularly within the financial services of AIF & PMS sector. The candidate will be responsible for ensuring that all legal operations of the fund comply with regulatory requirements and internal policies. Key Responsibilities: Monitor and ensure compliance with SEBI regulations, RBI guidelines, and other applicable laws governing AIFs. Develop, implement, and update compliance policies and procedures to reflect regulatory changes and industry best practices. Conduct regular compliance risk assessments and internal audits to identify potential risks and recommend corrective actions. Design and deliver compliance training programs for staf...

: Job Title: Company Secretary Location: Gurugram Industry: Housing Finance Experience Required: 8+ Years (Post Qualification) Team Management Experience: Required Key Responsibilities: 1. Statutory Compliance & Governance Ensure compliance with Companies Act, SEBI Regulations, RBI guidelines applicable to Housing Finance companies, and other statutory requirements. Conduct and manage Board Meetings, Annual General Meetings (AGMs), Extra-Ordinary General Meetings (EGMs), and Committee Meetings (Audit, CSR, NRC, etc.). Maintain statutory registers, records, and filings with ROC, MCA, and RBI. 2. Secretarial & Legal Documentation Draft notices, agendas, resolutions, and minutes for board and c...

JOB TITLE Team Member - Secretarial DEPARTMENT : - Secretarial DESIGNATION:- Assistant Manager/Deputy Manager LOCATION :- Kalina(Mumbai) REPORTS TO Company Secretary II. KEY DUTIES & RESPONSIBILITIES OF THE ROLE Drafting and finalising of agenda, minutes and circular resolution of Board/Committee/General Meeting Maintaining Statutory Registers Filings with MCA/SEBI/RBI Monthly/quarterly/half yearly and annual Compliances under various acts/regulations applicable to the Bank Formulation/review/implementation of Policies/SOPs pertaining to Secretarial Department of the Bank Assisting Internal/ Statutory/ Secretarial auditor for completing their audit activities Providing data for RBI inspectio...

Job Description For: AVP-Compliance. Location: Gurgaon . CTC: As per the industry standard. Reporting Manager: Chief Compliance Officer. Required Details: Experience Required: 10-12 years. Proven experience in the Non-Banking Financial Company (NBFC) sector with a strong understanding of RBI regulations. Excellent organizational and communication skills. Ability to work independently and as part of a team. Strong analytical skills and attention to detail. Key Responsibilities: Ensuring various Compliances under the Master Direction of the Reserve Bank of India for NBFCs and amended Rules thereon. Dealing with various circulars as issued by the RBI, i.e., Scale Based Regulations, KYC, etc. Ta...

Role : Company Secretary Location : Ahmedabad Experience : 1 to 3 Years Qualification : Qualified CS Job Description : The Company Secretary plays a crucial role in ensuring that the company operates within the legal and regulatory framework. They act as a key advisor to the board of directors on corporate governance, statutory compliance, and legal obligations. The role involves managing company records, organizing board and shareholder meetings, filing necessary regulatory documents, and ensuring adherence to internal policies and procedures.In addition, the Company Secretary is responsible for overseeing debt-related compliances, including monitoring loan covenants, coordinating with lend...

Job description This is Regarding Opening with a Leading Fund Management Company as a Compliance Manager !!! Experience: 3+ years Location - Mumbai - 5 Days (WHO) Responsibilities: Will be co-ordinating with the clients of the Company for SEBI AIF/ PMS compliances. To resolve the regulatory queries of the clients To co-ordinate during Inspection/ Audit Shall assist in various group level restructuring projects as may be initiated by Company from time to time. Ensure regulatory compliances for the Company for the current as well as future regulatory projects Qualified Company Secretary with degree in LLB/ Any professional qualification preferred Experience in activities in the securities mark...

1.Qualification: Member of ICSI with valid Certificate of Practice (COP) Minimum of 2yrs of experience in handling IPOs or working in a similar role. Required Candidate profile ensuring compliance with SEBI regulations and statutory reqmnts necessary documentation with regulatory authorities for the IPO.Liaise with legal advisors, invtmt bankers, auditors

Role : Senior Associate Company Secretary Location : Guwahati, Assam Experience : 2 to 5 Years Qualification : Qualified CS Job Description : We are seeking a dedicated and detail-oriented Senior Associate – Company Secretary to join our Legal & Secretarial team. The candidate will be responsible for ensuring compliance with corporate laws and statutory requirements, managing board and shareholder meetings, and maintaining statutory records Key Responsibilities: Ensure timely compliance with Companies Act, SEBI regulations, FEMA, and other applicable corporate laws. Conduct and manage Board Meetings, Annual General Meetings, and Committee Meetings – preparation of agendas, notices, minutes, ...

Job Summary: We are seeking a highly skilled and experienced GRC Professional with a strong background in the Broking industry regulated by SEBI. The ideal candidate will be responsible for ensuring regulatory compliance, managing risks, and establishing governance frameworks to safeguard the organization. Key Responsibilities: Governance: Develop and implement governance policies and frameworks in line with SEBI regulations and other regulatory requirements. Conduct internal audits and reviews to ensure adherence to compliance standards. Monitor changes in SEBI regulations and provide strategic guidance to stakeholders. Maintain and enhance the corporate governance framework, policies, and ...