573 Sebi Regulations Jobs - Page 15

As a Compliance Head for a listed organization based in Gurgaon, your primary responsibility is to serve as the Company Secretary and ensure compliance with all statutory and regulatory requirements under the Companies Act, SEBI regulations (LODR, PIT, etc.), FEMA, and other applicable laws. You will manage all secretarial functions including board meetings, general meetings, drafting of minutes, notices, resolutions, and maintaining statutory records. Additionally, you will oversee governance, risk, and compliance frameworks across the organization, liaise with regulatory authorities such as SEBI, ROC, stock exchanges, and other stakeholders, and ensure timely filings, disclosures, and comp...

As the Chief Financial Officer (CFO) of our distinguished, mid-sized Indian pharmaceutical company, you will report directly to the Managing Director/CEO and lead a team encompassing various financial functions. Our company, financially robust with revenues of approximately 700 crores, operates with a dedicated team of 1400+ professionals. We have a wide global reach, with products being distributed in over 90 countries and supported by two European subsidiaries. At the core of our financial strategy is a commitment to zero external funding, ensuring compliance with all applicable laws and regulations. Internal accruals drive our growth, reflecting our financial prudence and unwavering integ...

ACS,Statutory Complianc,Filing Statutory DocumentsPreparing & various statutory documents with regulatory authorities like Registrar of Companies (RoC),SEBI & other.Ensuring Compliance with Laws & Regulations,Managing Shareholder Communications.Legal Required Candidate profile Regulatory Advisory.Providing Legal Guidance.Managing Correspondence & Communication.Maintaining Document Retention Policy.Supply Chain Compliance. Product Safety & Liability.Environmental Regulation

Role & responsibilities Implement and monitor compliance with SEBI regulations Administer code of conduct under PIT Regulations Maintain Restricted List and Structured Digital Database Prevent misuse of unpublished price-sensitive information (UPSI) Manage trading windows closure when UPSI is available Monitor trades for deviations from code of conduct Maintain accurate compliance records Report to Board, stock exchanges, and depositories Handle investor grievances Investigate market malpractices Educate investors on securities markets Ensure designated persons understand UPSI responsibilities Analyze trades of designated persons Conduct due diligence for pre-clearance of trades Preferred ca...

Candidate must be currently serving in a listed company (mandatory) Role & responsibilities Strategic Financial Leadership Provide strategic leadership for the company's long-term financial goals. Partner with the CEO and Board to drive financial planning, budgeting, and capital allocation. Lead fundraising efforts, including equity and debt financing, IPOs/FPOs, QIPs, or rights issues. Financial Reporting & Governance Ensure timely and accurate statutory reporting as per SEBI, IND-AS, and Companies Act requirements. Oversee quarterly and annual financial disclosures and investor presentations. Interface with statutory auditors, internal auditors, and regulators. Investor Relations & Stakeho...

Kedia Corporate Advisors Pvt. Ltd. (KCAPL) is hiring Regulatory & Legal Specialists to manage SEBI, and IFSCA compliance. We have two openings : one for a Law Graduate (LLB/LLM) , and one for a Company Secretary (CS) . Key Responsibilities: Regulatory compliance for AIFs, REITs, SMREITs under SEBI & IFSCA. Prepare/review offering documents, trust deeds, IMAs . Coordinate with SEBI & IFSCA for filings & approvals. Conduct due diligence on REIT/AIF transactions. Manage corporate secretarial compliance. Track and implement regulatory changes . Assist with dispute resolution & litigation . Requirements: LLB/LLM/CS with strong legal/regulatory knowledge. Familiarity with SEBI AIF, REIT, IFSCA, tr...

• Maintain stat. registers, records & documents • Company Resolutions, MOM of Meetings • Board Meetings & AGMs • Ensure compliance with SEBI regulations & RBI guidelines • ROC & XBRL filing • Transfer, transmission & dematerialization of securities Required Candidate profile Qualification: Company Secretary Experience: Minimum 3 years in similar role CS Membership No. mandatory & Immediate Joiner preferred

We are looking for an experienced Company Secretary who will serve as a key support to the management team and ensure the organizations full compliance with regulatory frameworks In this role, you will be instrumental in overseeing our PMS, AIF, and Research Analyst compliance functions, working closely with senior leadership to ensure the company operates within all applicable SEBI regulations Youll play a critical part in maintaining high standards of corporate governance, ensuring timely regulatory fi lings, and offering legal and strategic advice when needed Min. experience: more than 2 years in this domain Qualification : Qualified Company Secretary Roles and Responsibilities: Establish...

Role & responsibilities Ensure timely compliance with SEBI (LODR) Regulations quarterly, annual, and event-based disclosures. Intimate outcomes of Board Meetings to the Stock Exchanges as per the regulatory timelines. Handle filings with the Registrar of Companies (ROC) including annual returns, resolutions, and other statutory documents. Manage compliance under SEBI (Substantial Acquisition of Shares and Takeovers) Regulations and RBI(Reserve Bank of India) Coordinate and facilitate the conduct of Board meetings ; AGMs and EGMs , including drafting of notices, resolutions, and minutes. Liaise with Stock Exchanges , Registrars & Transfer Agents (RTAs) , and external advisors for tracking cha...

You are a motivated and detail-oriented Semi-qualified Company Secretary (CS) looking to join our corporate secretarial team. You should have experience in handling secretarial functions in a listed company and be prepared to assist in various statutory and compliance-related activities under the Companies Act, 2013, and other relevant regulations. Your responsibilities will include assisting in the preparation of agendas for Board Meetings, Committee Meetings, and General Meetings. You will be responsible for drafting accurate minutes for these meetings and ensuring compliance with all relevant laws and regulations. Your role will also involve handling filings with regulatory bodies, managi...

As a Manager / Senior Manager in the PhonePe Legal Team, you will be responsible for various key tasks related to legal and compliance matters. Your role will include preparing draft Board and General Meeting documents, such as minutes and resolutions for private and listed companies. You will need to have a comprehensive understanding of SEBI regulations, the Companies Act and Rules, FEMA Guidelines, etc., in order to provide necessary advice to the team. Additionally, you will be involved in filing and reviewing necessary forms with regulatory bodies like SEBI, Stock Exchanges, ROC, RBI, etc., and handling IPO related work. Drafting and reviewing legal documents, maintaining statutory book...

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...

Job Title: Compliance Executive Department: Compliance Location: Noida Reports to: Compliance Manager / Head of Compliance Employment Type: Full-Time Job Summary We are seeking a detail-oriented and proactive Compliance Executive to join our team in a stock broking firm. The ideal candidate will be responsible for ensuring the company's adherence to all applicable regulatory guidelines, with a focus on operational compliance and reporting activities mandated by SEBI, stock exchanges, and other regulatory bodies. This includes daily margin reporting, segregation reporting, handling off-site alerts, and preparing documentation. Key Responsibilities 1. Preparation and timely submission of daily...

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.

Execute trades in Equity & Fixed Income instruments on behalf of clients (retail/HNI/institutional).Monitor market movements & provide real-time updates to clients.Ensure compliance with SEBI regulations /internal risk controls .exp in derivatives. Required Candidate profile The ideal candidate should be well-versed in market operations, trading platforms, and client execution. Exposure to Derivatives (F&O) will be considered a strong advantage.must be NISM 8 certified .

Job Title - Assistant Manager - Accounts & Compliance Location - Mumbai Reporting To - CFO Key Responsibilities Fund Accounting & Financial Reporting Overlooking the accounting process and Implementating Automation whereever required. Prepare monthly, quarterly and annual financial statements, investor reports, and management reports. Preparation of Audit Workings such as TDS Reconciliation, GST, Reconciliation, Fixed Assets Working etc for all the Kae Entities. Overlooking Accounting Process, Reviewing CASs, Completion of Audit, Approving Invoices, Monitoring Compliance etc. Assisting with Filing of Income Tax Returns for Domestic as well as Mauritius Entities and coordinating with Tax Advi...

About KPMG in India: KPMG entities in India are professional services firms affiliated with KPMG International Limited, with offices across India in Ahmedabad, Bengaluru, Chandigarh, Chennai, Gurugram, Hyderabad, Jaipur, Kochi, Kolkata, Mumbai, Noida, Pune, Vadodara, and Vijayawada. Established in India in August 1993, KPMG professionals leverage the global network of firms, possessing knowledge of local laws, regulations, markets, and competition. Offering services to national and international clients across sectors, KPMG in India strives to provide industry-focused, technology-enabled services that reflect a shared knowledge of global and local industries and experience in the Indian busi...

As a Capital Market Specialist at Adfactors PR in Mumbai, you will be a key player in the investment banking sector, particularly in deal origination and capital markets. In this role, your expertise will be essential in driving communication strategies throughout the capital market lifecycle and beyond. We are looking for individuals with a deep understanding of capital markets and communications, including familiarity with financial storytelling, IPO processes, SEBI regulations, and market trends. Experience in investor relations, corporate communications, or public relations will be highly valued. Your responsibilities will involve conducting thorough research on capital markets, business...

Develop mathematical models for trading, forecasting, or data processing, and continuously enhance existing models. Analyze large datasets to identify trends and insights, as well as conduct research on financial markets and economic conditions. Utilize strong coding skills in Python and other languages to implement mathematical models. Explore unconventional data sources to drive innovation and enhance model performance. Translate mathematical models into algorithms for practical application. Manage risk by developing mathematical models to assess and mitigate risks associated with products or strategies. Build predictive models based on historical data using Monte Carlo modeling techniques...

We are a Great Place to Work Certified organization, recognized by Great Place to Work India. At FYERS, our mission is to empower new-age traders and investors with the best-in-class technology and platform. We are a bootstrapped company driven by our founders" passion to deliver exceptional value to our diverse customers, employees, and communities. If you share our passion, creativity, and desire to grow with us, we invite you to apply with your latest profile for review and potential connection. Joining us means immersing yourself in the dynamic world of capital markets and shaping the future of digital finance through groundbreaking projects. You will collaborate with a diverse team of e...

You will be responsible for handling corporate secretarial responsibilities and ensuring compliance with regulatory requirements at Birlasoft Limited. Your duties will include ESOP administration and related compliances, RBI and FEMA compliances, Annual Report activities, AGM activities, SEBI Insider Regulations, and management of global subsidiaries. To excel in this role, you should have a proficient knowledge of SEBI regulations and compliances. It is essential that you hold a Bachelor's degree in Law, Business Administration, or a related field, along with certification from the Institute of Company Secretaries of India (ICSI). A minimum of 3 to 5 years of experience in similar roles is ...

—Build a Roadmap for Capital Market products focusing on all financial services-related products & define the initiatives while discussing with key stakeholders —Lead a team of Designers, QA, and engineers to collaborate on the vision for the product Required Candidate profile —Understanding of FIX/REST APIs, Jira/Confluence, Figma, Balsamiq, product lifecycle management & agile prioritization —Capital Markets, Trading Platforms, Financial Data Flows & Regulatory knowledge

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

As a Regional Sales Manager/Head in the broking industry, you will be tasked with driving business growth and sales performance within the assigned region. Your role will require you to lead a high-performing sales team by utilizing your expertise in financial markets, client acquisition, and channel development. Your key responsibilities will include: Team Leadership & People Development: - Manage and mentor a team of Area Managers, Relationship Managers, and Sales Executives. - Set clear goals, monitor KPIs, and ensure high performance standards. - Foster a culture of ownership, accountability, and continuous improvement. Client Acquisition & Retention: - Develop strategies for acquiring r...

As a part of Groww Mutual Fund, previously known as Indiabulls Mutual Fund, you will be responsible for various aspects of custody operations, fund accounting, and treasury/cash flow management. Our organization is dedicated to creating steady, long-term wealth for our investors through innovative schemes and a focus on simplicity, transparency, and consistent wealth creation. In the role of Custody Operations, you will be involved in the creation and maintenance of security master for equity and debt instruments, trade settlement coordination, liaising with various stakeholders, reconciliation of holdings, margin placement activities, and recording corporate actions. Fund Accounting will be...