395 Sebi Regulations Jobs - Page 16

Role & responsibilities Ensure compliance with all statutory and regulatory requirements relevant to the organization. Prepare and maintain accurate minutes of board meetings and general meetings. Facilitate communication between the board of directors and senior management. Manage the companys corporate records and filings, ensuring they are up to date and accessible. Assist in the preparation of reports and documentation required for meetings and statutory filings. Monitor changes in relevant legislation and the regulatory environment, advising the board accordingly. Coordinate with external auditors, legal advisors, and other stakeholders as required.

Role & responsibilities 1. Regulatory Compliance Oversight - Develop, implement, and monitor the Banks compliance framework and policies. Ensure adherence to applicable laws, regulations (RBI, SEBI, AML, FEMA, etc.), and internal policies. Maintain up-to-date knowledge of changes in laws/regulations affecting banking operations 2. Risk Management Identify and assess compliance risks and develop mitigation strategies Support the Enterprise Risk Management (ERM) framework by integrating compliance risks Lead compliance audits and respond to regulatory findings 3. Policy & Process Development Draft and review compliance-related policies, manuals, and codes of conduct Standardize compliance proc...

A leading Legal Tech Co in Kolkata looking for Compliance Professional who is Company Secretary Key Responsibilities: 1. Regulatory Compliance 2. Risk Mitigation 3. Product Expertise 4. Process Improvement 5. Regulatory Knowledge 6. Client Guidance Required Candidate profile Qualified Company Secretary (CS) with 4-6 years of hands-on experience handling secretarial matters for listed companies, with a strong preference for those with experience in the listing process

Hiring SEBI-approved Mentor/Trainer in Thrissur with knowledge in Stock, Forex & Crypto markets. Conduct training, share strategies, and guide learners. Knowledge of SEBI rules & all stock market types required. Required Candidate profile Any Graduate, SEBI registered, with min. 1 yr in trading/training. Strong in Indian, Forex & Crypto markets. Good communication, analytical mindset, and passion for teaching market trends. Perks and benefits Flexible hours, learning resources

Job Summary:- We are seeking an experienced and detail-oriented Company Secretary to join our team. The ideal candidate will play a pivotal role in ensuring compliance with legal, regulatory, and corporate governance requirements. This position involves supporting in board meetings, managing corporate records, and advising on statutory and legal matters. Key Responsibilities:- Ensure compliance with statutory and regulatory requirements, including Companies Act and SEBI (for listed companies). Develop and monitor compliance frameworks, policies, and processes. Maintain up-to-date knowledge of corporate governance best practices. Organize and prepare agendas, minutes, and resolutions for Boar...

Ensure compliance with the Companies Act, SEBI Regulations (LODR, Insider Trading, Takeover Code, etc.), Listing Regulations, and other applicable corporate laws. Manage filings and disclosures with Stock Exchanges (NSE/BSE), SEBI, ROC, and MCA. Organize and coordinate Board Meetings, AGMs, EGMs, and Committee Meetings (Audit, Nomination & Remuneration, CSR, etc.) Maintain statutory registers and records, including those required under Companies Act and SEBI laws. Advise on good governance practices and compliance with corporate governance norms. Facilitate evaluation of board performance and ensure compliance with codes of conduct and ethics policies. Act as the point of contact for shareho...

Were Hiring Company Secretary (CS) Location: Sector 3, Noida Are you a qualified Company Secretary with 2-6 years of NBFC work experience and a strong interest in the NBFC sector? We are looking for a proactive, detail-oriented, and compliance-driven professional to join our growing team at Credflow. This role offers an excellent opportunity to work in a dynamic environment, contribute to key legal and regulatory functions, and grow your career in a fast-paced, innovative company. Come be a part of our journey! Position: Company Secretary Qualification: Certified CS Experience: 2-6 years What youll be doing: Handle all company-related compliances under the Companies Act, 2013 Prepare and mai...

Key Responsibilities: * Assist in preparing and filing ROC (Registrar of Companies) forms and returns. * Maintain statutory registers and records as required under the Companies Act. * Draft board resolutions, minutes of board/general meetings, and notices. * Support in organizing board and general meetings, and liaise with directors and stakeholders. * Monitor compliance with secretarial standards, SEBI regulations (if applicable), and other statutory requirements. * Conduct legal research and assist in preparing legal opinions and reports. * Support the Company Secretary in all corporate governance matters. * Assist in handling company incorporations, changes in directorship, and share tra...

Description External Job Description Designation: Assistant Manager -Secretarial Reporting to: Manager - Secretarial Location - Mumbai Brief job description: To be responsible for compliance with all corporate laws for Asian Paints Limited and its group companiesDrafting of Annual Report, viz Boards Report, Corporate Governance Report and Shareholders Information, Business Responsibility Report, Chairmans speech, Notice of the AGM and reviewing the Annual Report as a whole for the groupEnsuring compliance with Companies Act, SEBI Regulations and Secretarial StandardsResponsible for conducting meetings of the Committees in accordance with legal requirements preparation of agenda, co - ordinat...

Looking for Cs qualified or Semi Qualified with 0-2yrs of the experience.Experience in limited & listed in BSE & NSE are given preferred first. SEBI MCA filings Stock exchange filings IEPF forms preparation and filing Dividend processing Dealing with share holders AGM/EGM preparation Payment of duplicate dividends liaison with RTA Minutes drafting & Other secretarial works

Job Title: Team Lead Depository Participant (DP) Operations Location: Empire Plaza, Vikhroli, Mumbai, Maharashtra Experience Required: Minimum 2 years as a Team Lead in DP operations Qualification: Graduate (any stream) Notice Period: Maximum 30 days Key Responsibilities 1. Depository Participant (DP) Products Expertise In-depth knowledge of DP operations and services, including demat account handling, securities settlement, pledge/unpledge processes. Ensure compliance with NSDL/CDSL guidelines . 2. KYC Audit Exposure Conduct and support Know Your Customer (KYC) audits in line with SEBI and depository regulations. Identify discrepancies, prepare audit responses, and implement corrective meas...

Job Description for CS - Merchant Banking Designation: CS - Merchant Banking Number of openings : 2 Experience: Semi-Qualified/Qualified Company Secretaries Location: Kandivali West, Mumbai We're hiring Semi-Qualified/Qualified Company Secretaries for exciting opportunities in SME IPOs and compliance. Scope of work : Assist with IPO-related secretarial and compliance activities. Work on Draft Red Herring Prospectus and IPO documentation. Ensure compliance with SEBI regulations and Companies Act, 2013. Collaborate with senior professionals and intermediaries. Skills Required: Semi-Qualified/Qualified CS with 1-2 years of experience. Strong knowledge of IPO processes, SEBI guidelines, and corp...

Job Responsibilities: Independently handle all secretarial activities, including event-based listing compliances such as Preferential Issue and ESOPs. Prepare and file Annual, Half-Yearly, and Quarterly compliances with Stock Exchanges as per SEBI (LODR) Regulations, 2015 , along with other regular correspondence for a listed company. Maintain strong working knowledge of Companies Act, 2013 and SEBI Listing Regulations . Draft agendas and minutes for Board and Committee Meetings; conduct Board, Committee, and Annual General Meetings. Revise and draft company policies in line with the Companies Act, 2013 and SEBI LODR; benchmark corporate governance practices against leading companies. Handle...

Location: Kharagpur, WB Industry: Manufacturing / Heavy Industry / Engineering / Metals & Mining Experience: 15+ years of experience Work Type: Full-time Role & responsibilities : Strategic Financial Leadership: Develop and execute the company's financial strategy, aligning with overall business objectives. Financial Planning & Analysis: Oversee budgeting, forecasting, and financial modeling to support decision-making processes. Financial Reporting & Compliance: Ensure accurate financial reporting and compliance with Indian and international accounting standards. Risk Management: Identify financial risks and implement strategies to mitigate them, safeguarding the company's assets. Capital Ma...

Hi, We have an urgent below vacancy - Company Name Oriental Aromatics Ltd. Company Webpage : - http://www.orientalaromatics.com/ ">http://www.orientalaromatics.com/ Position Joint Assistant CS Job Location :- Jehangir Building, 2nd Floor, 133 M. G. Road, Kala Ghoda, Fort, Mumbai 400 001, India Education – Fully qualified CS Working Days – Monday – Friday JOB DESCRIPTION :- Sound knowledge of the Companies Act, 2013, SEBI regulations, and other application corporate laws, with regular updates on amendments and circulars. Filing of statutory forms with the ROC and ensuring Stock Exchange Compliances under SEBI (LODR) Regulations. Maintaining statutory registers, records and assisting in prepar...

Position Overview: We are seeking a Quality Auditor to verify call recordings of dealers placing orders via trading terminals. This role ensures that all recorded calls comply with regulatory standards and internal policies, maintaining the integrity and accuracy of trading transactions. Role & responsibilities: Review and audit recorded calls between dealers and clients for order placements. Ensure that calls are clear, complete, and accurately reflect the transaction being conducted. Ensure compliance with financial regulations (e.g., SEBI) and internal policies. Identify and report discrepancies or non-compliance issues. Prepare and maintain detailed audit reports. Collaborate with compli...

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 ...

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...

Job Summary: We are seeking an experienced Fund Manager AIF to lead our operations. The ideal candidate should have minimum 5 years of experience and a strong background in fund management, private equity, or broking, with experience in managing portfolios and making strategic investment decisions. This role is an excellent opportunity for sub-brokers, brokers, or professionals who have wound up their business and are looking for a leadership role in fund management. Key Responsibilities: • Oversee and manage the investment strategies and execution for the AIF. • Develop and implement investment strategies based on market trends, risk assessment, and client objectives. • Conduct in-depth res...

Tracking of Regulatory emails and ensuring revert has been provided to Exchange Insider Trading Regulation Approvals Advertisement approvals Regulatory Submissions - Exchanges and Depositories ================================================= Educational Qualifications: Graduate/Post Graduate Experience: 5 to 6 year experience in Broking firm Domain Knowledge: Broking Industry, SEBI Regulations NISM IIIA to be cleared mandatorily