573 Sebi Regulations Jobs - Page 13

Drafting of IT processes / procedures, review and update at a regular frequency Ensure IT compliance on the following aspects: internal process / procedures encompassing IT security, Risk, continuity, development, Project management, SDLC, QA, Production functions external compliance and regulatory requirements any relevant certifications like ISO and acts like DPDP Direct Responsibilities Run Internal IT Process Audits ensure process compliance SPOC for External audits like System audit, Statutory audit, Cyber and security audit, ISO audit, any other group audits and Data related audits in the context of upcoming DPDP Act Documentation of IT processes covering security, Development, PM, QA,...

We are looking for a detail-oriented and proactive Compliance & Audit Executive to ensure adherence to SEBI regulations and internal policies across Portfolio Management Services (PMS), Alternative Investment Funds (AIF), and Investment Advisory (IA) activities. The candidate will also support audit functions and assist in maintaining regulatory and operational compliance across the organization. 1. Regulatory Compliance (SEBI & Others): Monitor and ensure adherence to SEBI regulations applicable to PMS, AIF, and Investment Advisory. Stay updated on amendments and circulars issued by SEBI and other regulators (RBI, AMFI, etc.). Assist in preparing and filing periodic regulatory reports and r...

Manage MCA filings, support PAN/TAN/DSC processes, oversee DEMAT/bank accounts, handle board resolutions, assist corporate secretary with compliance and admin tasks, and ensure smooth India office operations. Teamwork and flexibility essential.

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

The Job Description / Responsibilities include:- Handling Merchant Banking Assignments, including visiting the PCS, CA and Companies Handling High-end Assignments and Advisory Maintaining secretarial records of the Company / group Companies Preparation and Filing of various forms on MCA portal preparation of Annual Report of the Company and Group Companies Preparation of minutes of all group Companies To ensure the compliances of Listing Regulations, SEBI guidelines , RBI, Companies Act, 2013 To assist in conduct of Board Meetings/ Committees Meetings/ Bankers Meeting Any other assignment from time to time. Qualification : - Member of ICSI

Role & responsibilities We are looking for a qualified Company Secretary (CS) with minimum 3 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 Responsibilities: Handle all SEBI, ROC, and stock exchange compliances. Manage the complete IPO documentation process including DRHP, RHP, and listing formalities. Coordinate with merchant bankers, legal counsel, registrars, and auditors. Conduct and maintain Board m...

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...

A LegalTech Co in Kolkata looking for a Company Secretary. Responsibilities: Regulatory Compliance Identification, Draft regulatory update summaries, Prepare complex regulatory compliance obligations, & Carrying out due diligence on Corporate Laws Required Candidate profile Qualifications: Company Secretary Experience: 0-2 years Knowledge of Regulatory Compliance, identification of new case laws ,Conduct extensive legal research,Create checklist of compliance obligations

JOB DESCRIPTION: Preparation and ongoing maintenance of transaction synopses, with regular monitoring of material events and critical developments per transaction. Coordination with cross-functional teams (Legal, Compliance, and Accounts) to ensure seamless transaction execution, regulatory compliance, fee realization, and workflow integrity. Monitoring of interest payments and conducting timely follow-ups with clients and statutory bodies in compliance with SEBI regulations and contractual obligations. Management of the ERP system, including uploading transaction documentation, maintaining payment schedules, confirming payments, and recording execution-related entries. Facilitation and coor...

We are hiring a Company Secretary (CS) Fresher for our team in Kengeri, Bangalore . Position : Company Secretary (Fresher) Location : Kengeri, Bangalore CTC : 6-6.5 Fixed+ 15-20% variable Qualification : ACS (Associate Member of the Institute of Company Secretaries of India ICSI) Key Responsibilities: Assisting in preparation of agenda, notices, and minutes for Board/Committee meetings. Coordinating with regulators (ROC, SEBI, RBI) for necessary filings and compliance. Maintaining statutory registers and records under Companies Act, 2013. Assisting in filing of e-forms, statutory returns, and reports with MCA/ROC. Supporting compliance with SEBI regulations, RBI guidelines, and Listing Oblig...

The role of Assistant Company Secretary at Route Mobile Limited requires you to manage the corporate secretarial functions of the company and its group entities, both in India and across 23 international locations. You will report to the Head Legal & CS in Mumbai and must be a Company Secretary with ICSI membership. This position is open only for male candidates. Your primary responsibilities will include overseeing and managing the secretarial functions of the Group, particularly focusing on the listed entity Route Mobile. This involves compliance with stock exchange regulations, SEBI LODR, Insider Trading regulations, and takeover codes, requiring a comprehensive understanding of the Compa...

As a Branch Manager at Jainam Broking Limited, your primary responsibility will be to oversee daily branch operations and ensure compliance with SEBI regulations and company policies. You will be tasked with conducting regular audits to maintain operational discipline and develop strategies to achieve branch revenue targets. Your role will involve identifying new business opportunities, increasing client acquisition, and driving sales of equity, derivatives, mutual funds, and other financial products. Building and maintaining strong relationships with high net-worth individuals, retail clients, and corporate clients will be crucial in this position. You will need to address client queries pr...

The Investor Relations (IR) Manager plays a crucial role in serving as the primary point of contact for current and prospective investors, ensuring transparent communication, cultivating strong relationships, and managing the end-to-end investor lifecycle. It is essential to articulate the fund's strategy, performance, and objectives to stakeholders, thereby contributing to its growth and reputation. As an IR Manager, you will lead fundraising efforts, engage and nurture relationships with prospective investors, and raise capital for the private equity fund, both offshore and domestic. Your responsibilities will include developing strategies to deepen engagement with existing investors, ensu...

The Client Onboard Intmd Analyst role is ideal for a developing professional who is adept at handling problems independently. With a solid foundation in specialty area knowledge and industry standards, you will play a crucial role in achieving the objectives of the subfunction/job family. Your analytical thinking skills and familiarity with data analysis tools will be key to making informed judgments and recommendations based on factual information. As you tackle variable issues with potential business impact, your ability to interpret data and results professionally will be vital. Communication and diplomacy skills will be essential for exchanging complex or sensitive information effectivel...

You will be responsible for providing assistance to shareholders by coordinating with the Registrar and Share Transfer Agent (RTA) to resolve their grievances. You will also be required to receive and respond to shareholder complaints promptly. Additionally, you will need to download demat share transfer details from NSDL and CDSL. You will be in charge of ensuring timely statutory compliance by informing the stock exchanges about the buying and selling of shares by the promoters/designated persons as per SEBI requirements. You will also need to submit quarterly compliance reports to Stock Exchanges, including details of pending and redressed Investor Complaints, demat share transfers, Corpo...

The main accountability of the position is to lead the Secretarial function of Digitide and its subsidiaries in India and abroad post the Demerger implementation. The responsibilities include ensuring legal compliance, establishing sustainable company secretarial practices, and adhering to corporate laws such as Companies Act, FEMA, SEBI Regulations. Additionally, providing legal advice and regular reporting on related matters to stakeholders is crucial. The key accountabilities expected from the role are compliance with corporate laws like Companies Act, FEMA, SEBI Act and Regulations, SEBI Listing Regulations, and Insider Trading Regulations. This includes overseeing secretarial functions ...

Are you excited about being a key player in the dynamic world of Custody Operations This role offers you the opportunity to utilize your expertise in client account onboarding and regulatory compliance to ensure smooth trade and settlement processes. This is a chance to advance your career in a fast-paced environment where your skills in communication, management, and problem-solving will be highly appreciated. Join us to make a significant impact and drive success in the India trade and settlement landscape. As an Associate in the Custody Operations team, you will be responsible for providing processing support to ensure effective and efficient delivery of India Custody Operations. Your dut...

The Company - Ro Fund Management P Ltd. is a Mumbai based firm launching a new SEBI approved Category III Alternate Investment Fund later this year. The CIO has 25+ years of Fund management experience primarily in the US. Operations Manager - Alternate Investment Fund Looking for a candidate with at least 2-3 years of experience in Portfolio Management Services / Fund Operations. An independent, efficient individual who can handle client onboarding & compliance, manage end-to-end Fund operations, from onboarding to redemption. Also, responsible for managing daily operations, trade executions with custody reconciliation. Experienced in handling Fund compliance with SEBI regulations, generatin...

As a Manager in Investment Banking, you will be responsible for various key tasks. These include holding the Chartered Accountant qualification and possessing 1 to 2 years of experience in investment banking with a focus on due diligence and financial modelling. Your role will involve drafting and preparing Offer/IPO Documents, as well as liaising and coordinating with clients, intermediaries, SEBI, and stock exchanges. You will be expected to analyze the business models of clients, assess associated risks, and critically evaluate past financials. Additionally, you will assist in finalizing Restated Financial Statements for clients and maintain internal records and MIS related to ongoing ass...

StockGro, India's leading stock market education platform, is on a mission to equip users with trading and investing knowledge to succeed in the stock market. Whether you are a beginner or a seasoned trader, StockGro provides strategies from top investment managers, practice opportunities with platform currency, and access to expert and peer portfolios. The platform combines experiential learning with guidance from SEBI-registered experts, making it the go-to destination for trading and investing education. Founded in January 2020 by former venture capitalist Ajay Lakhotia, StockGro is well-funded and backed by respected investors such as General Catalyst, BITKRAFT, Roots Ventures, and promi...

You will be responsible for Fundraising, Debt Management, Debt Servicing, Working Capital, and day-to-day banking interface for all activities involved. Your main responsibilities will include Project Finance modeling, documentation, security creation, coordinating with Banks, Financial Institutions, Credit rating agencies, legal counsels, technical consultants, and ESIA consultants. You will need to ensure sufficient liquidity is maintained across various project entities (SPVs) and work closely with internal teams (accounts, tax, legal, secretarial) in managing fund flows across assets. It will be your responsibility to optimize financing across the existing portfolio of assets, monitor fi...

As an Associate Director, Legal with our prestigious financial services client in Mumbai, your primary responsibility will be to ensure compliance with Securities and Exchange Board of India (SEBI) regulations. You will play a crucial role in managing relationships with the SEBI regulator and providing legal guidance to the business team to mitigate risks and safeguard our client's interests. Your key responsibilities will include possessing in-depth knowledge of SEBI regulations, monitoring and analyzing changes in regulations, representing our client in interactions with the SEBI regulator, providing legal counsel to the business team, conducting legal risk assessments, collaborating with ...

Discussing with process owner and drafting SOP Reviewing the process and identify inefficiencies in operational processes. Identify and evaluate operational, financial, and regulatory risks and Identify control deficiencies and suggest improvements. Timely Updating SOP with controlling version records. Verify records and process related to client transactions, compliance, and operations. Support in review of SEBI regulations, exchange rules, and internal policies. Monitor and report compliance violations. Candidates working for stock broking companies will be preferred. Exposure of Internal Audit and SOP review is must.

You have over 12 years of experience in stock broking operations, showcasing excellent organizational skills such as time management, record keeping, self-scheduling, and follow-up abilities. Your expertise lies in drafting clear and professional correspondence and legal, compliance, and business-related documents. Your flexibility allows you to prioritize tasks effectively and manage multiple responsibilities within tight deadlines. Your role primarily involves ensuring compliance with SEBI and other applicable rules and regulations of stock exchanges like NSE & BSE, depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reportin...

About the Role: We are looking a detail-oriented Operations Specialist to manage mutual fund operations, investor onboarding, KYC and payment processes. This role involves both online and offline transaction handling, ensuring operational accuracy, regulatory compliance, and process efficiency. You will play a key role in shaping and streamlining backend systems within a fast-paced, evolving environment. Key Responsibilities • Manage mutual fund operational processes, including onboarding, KYC verification, and transactions. • Handle all mutual fund transaction types such as SIPs, Purchases, SWPs, Switches, and STPs. • Process and manage NPS transactions including subscriber registration, co...