390 Sebi Regulations Jobs - Page 13

DEPUTY MANAGER [ACCOUNTS & FINANCE]- 1. Responsible for accounts, audit, GST issues, budget, MIS functions. 2.Maintenance of systems and procedures. 3.Exposure in SAP/FICO is a must. 4.Providing functional guidance to accountants / other operational heads 5.Carrying out special studies aimed at reducing costs, improving efficiency and profitability. 6.The incumbent is expected to keep abreast of significant developments and practices in the fields relating to his/ her responsibilities, viz. accounting, audit, finance and taxes. 7.The incumbent will be required to provide expert advice / assistance to personnel at all levels of the organisation, if such need arises. 8.Ensure correct and on ti...

Role & responsib Job Title: Sr. Manager GRC (Governance, Risk, and Compliance) Experience: 5+ Years Industry: SEBI Broking Industry Location: Pune 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 ...

1. Organizing effective Board Meetings, its Committees, General Meeting of shareholders in coordination with CS leadership and Senior Management Personnel 2. Issue of securities, particularly NCDs on Private Placement basis. Compliances pertaining to GDRs 3. Compliances of LODR and other Regulations applicable to a listed Company 4. Drafting, discussing, finalizing and circulating of agendas of meetings, minutes, notices, outcomes, press notes etc. in consultation with Senior Management and other stakeholders 5. Management of key corporate actions like issue, listing of shares, merger, amalgamation, demerger etc. 6. Liasioning with Registrar & Transfer Agents (not day to day activities) 7. I...

Experience : 3+ years in Investment Banking (deal origination / capital markets), or Generalist roles About the Role Adfactors PR is seeking dynamic professionals passionate about capital markets, or seasoned generalists with a knack for problem-solving and multi-disciplinary execution. This role combines the depth of expertise in capital markets with the versatility of working on diverse projects, much like a generalist in a CEO's office. The ideal candidate will bring a mix of strategic thinking, business acumen, and execution prowess to drive communication strategies across the capital market lifecycle and beyond. We are looking for individuals with: Deep Expertise in Capital Markets & Co...

Review corporate actions accounting, redemption ,Business MIS Review of fees including Setup fees, Management fees, Custody, Performance fees, Brokerage, Distributor revenue and other Prepare monthly and quarterly compliance reports as per SEBI Required Candidate profile Immediate Joiners preferred. MBA (finance) , Semi qualified CA preferred

Role Overview: We are seeking a qualified Company Secretary with hands-on corporate legal experience to manage the legal and secretarial compliance for the Indian group of entities. The role requires a proactive professional with strong knowledge of Indian corporate laws, regulatory filings, board procedures, and legal documentation. Key Responsibilities: Company Secretarial: - Ensure compliance with Companies Act, FEMA, RBI, SEBI regulations (as applicable) - Organize and manage Board and Shareholders meetings drafting notices, agendas, minutes - Maintain statutory registers and records - Handle annual filings with MCA and other regulatory authorities - Coordinate with auditors, consultants...

Role & Responsibilities: Ensuring compliance and reporting as per the rules and regulations framed by regulatory authorities (Exchange, SEBI, CDSL) Replying to compliance related queries Assisting in ensuring exchange / DP-related compliances applicable to the Company under SEBI Act, SCRA, Rules, Regulations & Bye-laws of Exchange and Circulars issued by SEBI/CDSL/BSE from time to time. To track day to day circulars / notifications / notices issued by regulatory Ensure appropriate and timely alert management Basic knowledge of Audit of Authorized Person and Audit of Exchange. Working knowledge of advisory aligned surveillance and adhoc investigations. Desired Skills 3 - 8 year of experience ...

Role & responsibilities Preparation of documentation for Foreign Portfolio Investors (FPI) clients & Foreign Direct Investor clients (FDI). Processing of Onboarding documents of FPIs & FDI. Explaining & Educating prospective FPI clients about various regulatory requirements Processing of modification requests of existing FPI & FDI accounts Reviewing client structures and activities to ensure regulatory compliance from all aspects Direct Interaction with clients and business teams for query resolution on documentation Interaction with internal operations team to ensure timely account opening Handling audit & regulatory queries end to end Preferred candidate profile Knowledge of SEBI / RBI KYC...

Manage end-to-end Board meeting processes including agenda preparation, minutes documentation, and compliance with Companies Act 2013, SEBI LODR, SEBI D&P Regulations, and Secretarial Standards Required Candidate profile Handle comprehensive AGM compliances including Stock Exchange intimations, shareholder communications, and coordination with RTA and e-voting agencies Strong knowledge of corporate governance Perks and benefits Free Meals, Transport, Gym, Game Room, Free Snacks

Summary Aliens Developers Pvt Ltd is debt-listed on the Bombay Stock Exchange. We are looking for a skillful and enthusiastic Company Secretary to be a part of our Legal, Finance and Accounts team with at least of 4-5 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. Location: Aliens Space Station, Tellapur , Hyderabad Mode: On Site | Work from Office Work timings: Mon-Sat 11-8PM Website: https://www.aliensgroup.in/ Role & responsibilities Performing duti...

We have an opportunity in a Consulting role with a Fintech Company. Location - BKC, Mumbai (work from office only) Qualification - Company Secretary. Experience - 6+ years post-qualification. Candidate should have experience of working on SEBI Regulations like LODR, ICDR and SBEB & SE Regulations Companies Act and Rules relating to issue of capital, board, and general meetings. Desirable but not mandatory: Accounting principles and Taxation aspects around Equity-based compensation Highly desirable but not mandatory: Efficient in drafting legal documentations, letters, agreements, etc. Understand how different market participants operate like stock exchange, proxy firms and investors. Efficie...

There is a requirement of a Consultant with a Fintech Company. Role is more on the Advisory and client engagement side. Locations - Gurugram/Mumbai/Pune/Bengaluru. Looking for CAs with minimum 2 to 3 years of experience in a Consulting role from Big 4 or relevant firms. The candidate must have experience in a client facing role and should not be from a back end process background. Preferred experience in Audit, Due Diligence, Compliance, Advisory, Corporate Governance profiles. Knowledge in SEBI LODR related compliance is an added advantage.

Role : Company Secretary and Legal Experience : 5 to 7 Location : Mumbai Qualification : Qualified CS Job Description : Legal : 1) Provide legal counsel on issues of Commercial Agreements, Labour Laws and Trust related matters. 2) Draft, review, and negotiate legal documents including Commercial Agreements and NDAs. 3) Manage and coordinate with external legal counsel on regulatory matters. 4) Ensure legal compliance with local, regional, and national laws & regulations. Secretarial : 1) Serve as the Company Secretary and ensure compliance with the Companies Act and applicable corporate laws. 2) Organise and manage Board meetings, AGMs, and committee meetings including preparation of agendas...

Position: LLB with Company Secretary Experience : 5 to 10 Years Package: 12.00 LPA Location: Hyderabad H.O(Banjara Hills) Role & responsibilities The duties of a company secretary often include the following: Advising the Board on governance and strategic matters. Ensuring Compliance with the company's Articles of Association. Maintaining Statutory Registers such as registers of members, directors, and those with significant control. Filing essential documents with Companies House (confirmation statements, accounts, and director appointments). Overseeing communication between the company and its shareholders, including arranging annual general meetings (AGMs). While many of these duties are ...

Job Description Corporate Governance & Compliance: Ensure compliance with the Companies Act, 2013, Securities and Exchange Board of India (SEBI) regulations, and other relevant laws and statutory requirements, particularly concerning the functioning of listed companies. Regularly update the Board and management on changes in relevant laws, regulations, and compliance obligations. Prepare, maintain, and update records as required under SEBI (LODR) regulations and other statutory provisions. Advise the Board on corporate governance practices, ensuring compliance with best practices and regulations. Oversee the management and filing of various regulatory filings such as annual returns, financia...

Prior exp in a listed company is a must Prepare agendas, take minutes, in compliance with the Companies Act, 2013, SEBI LODR, SEBI D&P Regulations Compliances for the AGM for annual reports & e-voting details & coordinating with RTA & Linkintime Required Candidate profile 2+ yrs exp handling Secretarial Activities in Listed Company Preparation & filings with regulators such- MCA, SEBI, RBI Handle SEBI inspections, Secretarial Audit & Internal Audit Call - 8104808547 Perks and benefits 10% Perf Bonus + 10- 40% Revenue Bonus + Mediclaim

Assist in the preparation and filing of ROC forms, Board resolutions , notices, and minutes. Support the organization and execution of Board, Committee , and General Meetings . Maintain and update statutory registers , records, and secretarial files. Required Candidate profile pursuing or has cleared CS, in a Jaipur based company (having various subsidiaries) Assist in compliance with Companies Act, 2013 ,SEBI regulation and other statutory laws relevant to manufacturing

Regulatory & Legal Compliance - IFSCA, SEBI, SEZ, PMS, AIF AML/CFT compliance Prepare & present periodic compliance reports Support in internal audits & regulatory examinations Daily Branch Operations Awareness on legal responsibilities & compliance Required Candidate profile CS or LLB or both preferred 3 to 4 years of relevant experience in compliance or legal roles, preferably in financial services, PMS/AIF, or capital markets SEBI, IFSCA, SEZ, and AML regulations.

A leading investment fintech start up is keen to hire a Company Secretary in thier debt broking entity for broking operations and exposed to various secretarial compliance legal work & NBFC and will work closely with the legal and compliance function Required Candidate profile -Qualified CS - 0-2 years of work exp. in Comp Act, 2013, RBI and SEBI regulation -Pref. exp working as compliance officer with a stock broker or NBFC -Ability to work autonomously on multiple project

Leading team placed at HO and offsite locations and looking after compliances, risk and audit of business & regulatory affairs. Responding to the queries from different stakeholders pertaining to regulatory matters. Interactingwith SEBI on Depository Required Candidate profile Plan and co-ordinate inspection related activities to accomplish an efficient inspection management system Qualification: CA with BFSI / Capital market domain

>> JOB DESCRIPTION ROLE & RESPONSIBILTY: • Conduct thorough and detailed cyber risk assessments for our clients, analyzing their digital infrastructure, systems, and security controls. • Collaborate with cross-functional teams to gather essential information and data required for comprehensive risk assessments. • Evaluate and interpret assessment results to identify potential vulnerabilities and risks, and provide actionable recommendations for risk mitigation. • Stay up-to-date with the latest cyber threats, attack vectors, and industry best practices to enhance the effectiveness of risk assessments. • Prepare and deliver clear and concise reports summarizing the findings of risk assessment...

Role & responsibilities Should be able to handle Independently all the secretarial activities of the department and event-based listing compliances like Preferential issue and ESOPs. Should be able to Prepare and filing of Annual, Half yearly and Quarterly Compliances with Stock Exchanges as per SEBI Listing Regulations, 2015 and other regular correspondence for a listed Company. Have sound knowledge of Companies Act 2013 and SEBI Listing Regulations. Should be able to prepare agendas and Minutes of Board and Committee Meetings. Should be able to conduct Board and Committee Meetings And Annual General Meeting. Should be able to revise and draft Policies as per the Companies Act 2013 and SEBI...

We are looking for a qualified Company Secretary (CS) with LLB who will be responsible for ensuring statutory and regulatory compliance for a listed company , managing legal affairs , overseeing corporate governance , and handling new company formations and related legal documentation. The role involves working closely with senior management and external stakeholders to protect the organizations legal and regulatory interests. Key Responsibilities: Compliance with Listing Regulations: Ensure compliance with SEBI (LODR) Regulations and other listing obligations. Coordinate and manage all stock exchange filings, disclosures, and investor communications. Board & Shareholder Meetings: Prepare ag...

Roles and Responsibilities Preparing draft of Notice, Directors Report, MGT-9, MGT-8(Annual Return) forming part of the Annual Report of the Company as per Companies Act, 2013. Manage compliances with regards to different regulations from SEBI Ensuring timely filing of various Forms & returns with Registrar & Companies, such as Annual Return (Form MGT-7), Balance Sheet (Form AOC-4), Form-32/DIR-12, F-18/INC-22, F-8/CHG-1 and such other forms as may be required from time to time within the time prescribed. Assignment related to acquisition of Private Companies and preparation of Share Purchase agreements, Memorandum of Understanding, Indemnity Bond, transfer, and transmission of Shares etc. T...

Attention managers in Category III Alternative Investment Fund (Cat III AIFs)! A top IB firm is looking for a finance manager. If you are a CA/MBA with 1--4 years of exp, apply. JD: audit, compliance, taxes, MIS, financial analysis, modelling