586 Sebi Regulations Jobs - Page 24

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