573 Sebi Regulations Jobs - Page 2

Role Overview: As the Company Secretary at NxtWave, you will occupy a pivotal leadership role, interfacing with the board of directors and senior management to ensure adherence to statutory obligations, corporate governance standards, and the legal frameworks underpinning our operations. Your expertise in corporate law, compliance, and governance, combined with your ability to provide high-level strategic insights, will be essential as we navigate the complexities of scaling a disruptive ed-tech organization. This role demands a meticulous, proactive professional capable of seamlessly balancing corporate secretarial duties with complex legal responsibilities. Key Responsibilities: Corporate ...

Ensuring RBI compliance by monitoring guidelines, reviewing proposals, advising stakeholders, preparing regulatory reports, and supporting audits while driving timely implementation of policies and process adherence across the organization. Required Candidate profile Candidate should Know RBI regulations, expertise in compliance management, policy review, regulatory reporting, & the ability to coordinate effectively across departments to ensure timely adherence.

Position Location: VP/AVP - Mumbai Deputy Manager - Jaipur Job Purpose: To provide strategic leadership and oversight of the organization's surveillance function, ensuring effective detection, investigation, and prevention of market abuse or misconduct. To safeguard regulatory compliance and uphold market integrity through robust monitoring systems, policies, and cross-functional collaboration. Responsibilities: Supervise investigation of alerts, suspicious trades, and breaches; ensure timely escalation to compliance, legal, or regulators, identify emerging risks in trading patterns, market behavior, or operational processes; recommend preventive measures. Developing, Testing and deployment ...

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

Department: Legal & Compliance About the Role: We are seeking a proactive and detail-oriented Legal Officer with specialized expertise in Cyber Law , Corporate Legal Affairs , and the fintech/payments regulatory environment . The ideal candidate will be responsible for overseeing legal operations, managing regulatory risks, and ensuring the organization is compliant with applicable laws, including those related to digital payments, data privacy, information security, and corporate governance. Key Responsibilities: Corporate Legal Affairs Draft, review, and negotiate commercial agreements, MoUs, NDAs, SLAs, partnership contracts, and vendor agreements. Provide legal support for fundraising, m...

You will be responsible for the following key activities as a Compliance Manager at PlusWealth Capital Management: - Handling Compliance activities related to Stock Broker and Depository Participant towards various regulatory bodies such as SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA, MCA, ROC, GIFT Authority, SEZ Operations, and AIF (Alternative Investment Fund Cat-3). - Coordinating regularly with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors. - Managing Daily, Monthly, Quarterly, Half-yearly, and Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Cust...

Location: Hyderabad or Mumbai Company: Early Bootstrap Startup Industry: Stock Broking / Financial Services Type: Full-time About the Client Our client is a new-age stock broking startup building a technology-driven investment and trading platform. The firm is in the process of obtaining SEBI registration and related regulatory approvals and is looking for a seasoned professional to lead and oversee all compliance functions. Key Responsibilities Lead and manage all regulatory and compliance activities for the stock broking business in accordance with SEBI, NSE, BSE, and other statutory bodies. Ensure the companys adherence to all applicable laws, circulars, notifications, and guidelines issu...

Job Description: Chief Financial Officer (CFO) Reports To : Managing Director / CEO Team Leadership : Heads of Finance, Accounts, Treasury, Taxation, Internal Audit, Corporate Secretarial, Costing, and Expense Monitoring functions. Our Company: We are a distinguished, mid-sized Indian pharmaceutical leader, financially robust with revenues of approximately 700 crores and a dedicated team of 1400+ professionals. Our products reach over 90 countries, supported by two European subsidiaries. We are currently undertaking significant capital-intensive projects, all while adhering to an unwavering, highly conservative financial strategy: zero external funding (debt, equity, or hybrid instruments) a...

Audit Areas: Internal Audit Statutory Audit Management Audit Risk Assessment and review of Internal Controls Stock Audit Government Audit Pre-Audit Management Consultancy Bank Audit Taxation Areas: Income Tax Compliance & Advisory GST compliance & Advisory Tax Audit Other Legal & Secretarial Compliances Good Legal drafting Skill & Representation to Authorities Preferences: Qualified Chartered Accountants with experience of either Statutory Audit or Internal Audit will be preferred. Knowledge of SEBI Regulations, Company Laws and allied laws will be considered as an asset. Experience of listed company audit will be considered as an asset.

Conducted internal audits of PMS & Investment Advisory services per SEBI norms, evaluated internal controls, reviewed KYC/AML & investment processes, ensured compliance, reported findings, &coordinated with teams for resolution & regulatory updates. Required Candidate profile Experience in internal audit or compliance within the financial services industry, in PMS/Investment Advisory firms. Understanding of SEBI regulations governing PMS &Investment Advisory Services.

Job Description Job Title Assistant Manager - Company Secretary About The Function We're legal experts, understanding the complex laws that surround our business and our much-loved brands. Our Legal team are responsible for a range of legal challenges, from Corporate and Intellectual Property to Merger & Acquisitions and Compliance. We're always seeking new and creative ways to take on the evolving challenges that today's commercial world presents. Our talented colleagues around the world are not just outstanding lawyers but also brilliant communicators and advisors. Whatever your skill as a lawyer, your distinct and valuable perspective will be celebrated and nurtured in our inclusive cultu...

Role & responsibilities Ensure compliance with Companies Act & ROC matters Oversee company secretarial functions & affairs Manage listing agreements & ROC filings Draft agendas, notices, minutes, and resolutions Handle corporate governance for multiple clients Ensure compliance with Companies Act, SEBI (LODR), FEMA, Insider Trading Regulations, and other statutory requirements Maintain statutory registers and handle ROC, SEBI, Stock Exchange & RBI filings Track regulatory changes and ensure timely adherence Organize Board, Committee, and General Meetings (AGM/EGM) Preferred candidate profile Qualified C.S with min. of 1 years of experience Experience with PCS firm preferred

Role & Responsibilities: Regulatory Compliance of Securities Act, Mutual Fund Regulations and other regulatory bodies Reporting to the Boards with quarterly and half yearly reports in accordance with SEBI (Mutual Funds) Regulations, 1996 and such other reports as are prescribed by the Regulator from time to time Monitoring SEBI restrictions on the Schemes of the Mutual Fund Monitoring of Schemes on the Limitations out of prospectuses Monitoring Contractual limitations on Funds managed Preparing and Vetting of all Offer Documents to review that they are in compliance with the SEBI Regulations including periodic updating of the Offer documents. Pre-clearance of all marketing materials and fili...

Job Title: Company Secretary Department: Legal / Compliance / Corporate Affairs Reports To: CFO / CEO Location: Chennai Job Type: Full-time Job Summary: The Company Secretary (CS) plays a key role in ensuring the company complies with statutory and regulatory requirements, and implements decisions made by the Board of Directors. The CS acts as the primary point of contact between the company and regulatory authorities, and provides governance, legal, and strategic support to senior management. Youll need to ensure that our company complies with financial and legal requirements, and maintain high standards of corporate governance. You also need to have a thorough understanding of the laws tha...

*Division Leadership & KMP Accountability *Transaction Execution(IPO, FPO etc) *Fundraising Support, due diligence *Regulatory Compliance & Governance (SEBI, RBI, stock exchange) *Client Relationship Management *Business Development & Market Analysis Required Candidate profile *Division head/senior manager/KMP in a merchant banking firm/investment bank/stockbroking firm *Exp in executing IPOs, QIPs, M&A transactions *Good relationship with corporates, regulators & investors

Role Overview: You will be responsible for leading legal and regulatory initiatives across NBFC and fintech operations. Your expertise in contract management, regulatory liaison, investor grievance handling, litigation support, and compliance with SEBI, RBI, and other financial regulations will be crucial for this role. Key Responsibilities: - Draft, review, and negotiate various legal documents such as loan agreements, co-lending agreements, NDAs, service provider/vendor contracts, joint venture agreements, disclaimers, privacy policies, and terms & conditions. - Ensure continuous compliance with SEBI, RBI, and other relevant legal frameworks. - Represent the company in legal proceedings, r...

Job title: Company Secretary Location: Bangalore What started in 2015 as a mission to solve working capital challenges has evolved into a comprehensive financial solutions ecosystem. Today, KredX powers businesses of all sizes with innovative financial solutions. KredX stands as India's leading integrated supply chain finance solutions provider, holding both RBI's TReDS license and IFSCA's ITFS license - making us one of the few double-licensed entities in India. We drive domestic trade financing through our Domestic Trade Exchange (DTX) platform, facilitate cross-border trade financing solutions through our Global Trade Exchange (GTX), and deliver AI-powered intelligent finance automation t...

Role Overview: As an HR Manager for the stock broking division in Ahmedabad, S G Highway, you will be responsible for overseeing all human resource functions, including recruitment, employee engagement, training, compliance, and performance management. Your role will require a strong knowledge of SEBI-regulated financial organizations, a keen understanding of sales-driven environments, and the ability to align HR strategies with business goals. Key Responsibilities: - Manage end-to-end recruitment process for dealer, relationship manager, equity advisor, and back-office roles. - Build and maintain a talent pipeline for sales, research, and support functions. - Partner with hiring managers to...

As a Principal Compliance Officer at PlusWealth Capital Management LLP, your role is pivotal in ensuring the firm's full compliance with SEBI and exchange-related regulations. You will work collaboratively with leadership, legal, trading, and operations teams to uphold integrity and operational discipline. **Key Responsibilities:** - Handling Compliance activities w.r.t Stockbroking and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) - Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendor, Consultants -...

PNB Investment Services Limited (PNBISL), incorporated on 2nd of February 2009, is a 100% subsidiary of Punjab National Bank. PNBISL is registered with SEBI as a Category-I Merchant Banker to handle all major Merchant Banking Services to Corporate, Institutional and Individual clients. PNBISL derives strength from Punjab National Bank which is one of the largest Nationalized Bank in the countrywith Pan-India network. Position: Merchant Banker AVP Location: Mumbai Qualification: MBA / CA / CS / LLB Experience: Minimum 8+ years in Merchant Banking / Investment Banking About the Role As a Merchant Banker , you will be at the forefront of executing capital market transactions , ensuring complian...

About The Role We are seeking a dynamic and detail-oriented Qualified Company Secretary (CS) to join our team and lead compliance and secretarial functions related to the Initial Public Offering (IPO) process. The ideal candidate will play a critical role in managing legal, regulatory, and governance aspects, ensuring full compliance with SEBI, ROC, and stock exchange requirements. Key Responsibilities IPO Preparation & Execution: Coordinate with merchant bankers, legal advisors, auditors, and other intermediaries involved in the IPO process. Prepare and review offer documents, DRHP, RHP, and other regulatory filings. Ensure compliance with SEBI ICDR Regulations, Companies Act, and stock exc...

Job Title: Company Secretary Department: Legal & Compliance Location: Sricity Employment Type: Full-Time Job Summary: We are seeking a qualified and experienced Company Secretary to ensure compliance of clients with statutory and regulatory requirements and maintain high standards of corporate governance. The ideal candidate will serve as a key advisor to the board and senior management, facilitating effective communication between stakeholders and ensuring the integrity of governance frameworks. Key Responsibilities: ? Ensure compliance with corporate laws, regulations, and statutory requirements. ? Organize and manage board meetings, annual general meetings (AGMs), and committee meetings, ...

Seeking a Company Secretary to serve as the main point of contact for the board, shareholders, and regulatory bodies regarding governance matters. This role will involve coordinating board meetings, ensuring compliance with legal and regulatory obligations, preparing and filing legal documents, maintaining corporate records, providing guidance on best practices, and handling shareholder communications and inquiries. About SatSure: SatSure is a deep tech, decision Intelligence company that works primarily at the nexus of agriculture, infrastructure, and climate action creating an impact for the other millions, focusing on the developing world. We want to make insights from earth observation d...

Ensure compliance with SEBI, ROC, Companies Act, and regulations. Assist in drafting, filing, and reviewing secretarial documents, maintaining statutory records, preparing board materials, and advising mgt on regulatory changes and compliance impacts Required Candidate profile • 1–3 years in compliance, preferably with a listed/public limited company. • Good knowledge of corporate laws, SEBI regulations, and corporate governance practices.

Key Responsibilities (KRAs): Independently manage end-to-end secretarial compliance for multiple Indian group entities under the Companies Act, 2013 Lead preparation, review, and finalization of Board and Committee agendas, notices, and minutes Oversee filing of statutory returns and forms with MCA, SEBI (LODR), RBI, and other regulatory bodies within stipulated timelines Ensure adherence to all corporate governance, FEMA, and FDI compliance requirements Manage ESOP administration, share capital-related matters, and coordination with Registrar & Transfer Agent (RTA) Provide secretarial support in corporate restructuring, fund raise, and M&A transactions including due diligence and documentat...