390 Sebi Regulations Jobs - Page 3

Regulatory Compliance & SEBI Interface,2. Investor Servicing & Grievance Redressal,3. Corporate Governance & Board Support,4. Operational Compliance Monitoring,5. Coordination with Depositories & Issuers,6. Audit, Inspections, Reporting,Legal & Risk Required Candidate profile (CS).Minimum 5 years post-qualification experience (mandatory).Proven exposure in securities market and RTA operations. Companies Act, SEBI Regulations, Depository guidelines, Corporate Governance.

The ideal candidate will act as a key advisor to clients, ensuring compliance with applicable laws (Companies Act, SEBI Regulations, FEMA, etc.) while supporting corporate structuring, fundraising, and listing processes

Equirus Capital Private Limited is a leading investment bank with expertise in various financial services including M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services. With a successful track record of closing over 200 deals, our investment banking division caters to the financial and advisory requirements of companies across diverse sectors. As an Analyst in Equity Capital Markets at Equirus, you will be responsible for: - Demonstrating a comprehensive understanding of regulations such as SEBI (ICDR) Regulations, SEBI (LODR) Regulations, Companies Act, 2013, and other relevant laws. - Proficiency in the processes involve...

Deputy Company Secretary: Position - Deputy Company Secretary Department - Company Secretary Location - Thermax House Reporting to - Sangeet Hunjan Experience range - 10 -12 yrs Prefered Industry - Manufacturing Services /Listed company To ensure compliance with Companies Act, SEBI regulations, and listing requirements. Lead a team of secretarial professionals to ensure timely and accurate compliance. Support the Board and Committees with governance, scheduling, and documentation. Draft and review minutes, resolutions, and statutory filings, ensure timely disclosures. Assist in the preparation of Annual report. Oversee secretarial compliance and governance for domestic and overseas subsidiar...

The Chief Financial Officer (CFO) is a key executive officer of the Company, responsible for ensuring sound financial governance, transparency, and compliance as mandated for a publicly listed SME entity. The CFO will partner with the Board of Directors and CEO in shaping the Companys financial strategy, ensuring adherence to statutory obligations, safeguarding shareholder interests, and supporting sustainable growth. Role & responsibilities Primary Responsibilities: Governance & Compliance Ensure full compliance with SEBI regulations, Stock Exchange listing requirements, Companies Act, and applicable accounting standards (Ind AS/IFRS). Provide accurate and timely statutory reporting, financ...

Responsibilities: * Lead investor relations efforts, including fundraising & regulatory compliance * Oversee financial reporting, corporate actions & M&A activities

Dear Candidate, Greetings!! We are currently hiring for the Listing role, and the Job Description is provided below for your reference Processing and giving approval for preferential issue/Rights Issue/ Bonus/FCCBs/QIPs/Voluntary Delisting filed by listed entities while ensuring the following: Ensuring Compliance with SEBI Regulations and Exchange Checklist and guidelines Studying Valuation report in case same is applicable Meeting timelines specified by SEBI Regulations and Exchange Guidance Note Updating Exchange database post giving listing approval for shares etc. Responding to SEBI queries and providing Examination reports to SEBI Timely providing data to SEBI Preparing and presenting i...

We are seeking a highly motivated Company Secretary to join our vibrant Merchant Banking team and play a key role in (IPO) transactions. .Manage board and shareholder meetings related to the IPO. .Drafting and filing of IPO documents.

Urgently hiring for CS with strong experience into IPO management process. Job location : Thane West (WFO) Budget Upto 12 LPA (Male candidates only)

Job description Some careers open more doors than others. If you're looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further. Job Introduction Should have hands on experience in Mutual fund operations looking after Cash flow, Settlement operations & regulatory reporting's. Principal Responsibilities Experienced in executing settlements for equity, debt, GSEC, and repo trades, using STP, FIMMDA Reporting, and NDS systems, and communicate with custody. Prepare daily Cashfl...

Dear Candidate, Greetings!! Kindly find the Job Description for the Financial Surveillance. Role and Responsibilities: Analysis of Financial Statements like Balance Sheet, Profit & Loss Account, Cash Flow Statement including Ratio analysis, Trend analysis etc. to identify misrepresentation of financial statements, misappropriation / diversion of funds, probe complex transactions and other financial frauds / misconduct. Good understanding of Annual Reports and IND AS. Preparation of Examination Reports based on analysis. Development activity for process improvement. Assisting team with any adhoc activities. Interaction/Meeting with Regulatory Bodies. Knowledge of Companies Act, SEBI Regulatio...

Job Responsibility: Ensure compliance with all regulatory requirements as per the Companies Act, SEBI regulations, andother relevant laws. Manage and maintain all corporate records, including board meeting minutes, resolutions, andstatutory filings. Coordinate and facilitate board and committee meetings, including preparing agendas, circulatingmaterials, and recording minutes. Liaise with internal and external stakeholders, including directors, auditors, regulators, andshareholders. Assist in the preparation and filing of annual reports, financial statements, and other regulatorydisclosures. Monitor changes in laws and regulations affecting the company and advise managementaccordingly. Provi...

Job Responsibilities: 1. Ensure compliance with SEBI PMS Regulations, Circulars & Notifications: Stay updated on regulatory developments and ensure adherence to SEBI regulations, circulars, and notifications. Develop and implement policies and procedures to ensure compliance with regulatory requirements. Conduct regular reviews to ensure ongoing compliance and address any gaps or issues. 2. Develop and maintain Compliance Manual, Checklist, Tracking, and Reporting: Prepare and update compliance manuals, checklists, and tracking mechanisms. Conduct timely reviews to ensure that compliance documentation is accurate and up to date. 3. Regulatory Filings: Prepare and submit regulatory filings an...

As a Trade Execution and Management Specialist, you will be responsible for executing buy and sell orders for equities, derivatives, bonds, and other financial instruments in alignment with fund strategies. Your role involves ensuring trades are executed at the best available prices, taking into consideration market conditions and fund objectives. Monitoring and managing order books to ensure timely and accurate execution will be a key aspect of your responsibilities. Your role will also involve continuously tracking market trends, stock prices, and macroeconomic indicators to provide real-time updates to the investment team. By identifying market opportunities and recommending actionable tr...

As the Financial Controller, your primary responsibility will be to oversee and manage the financial reporting, accounting, and compliance functions in alignment with regulatory requirements. You will play a crucial role in ensuring the integrity of financial statements and adherence to IFRS/IND-AS and other applicable accounting standards. Developing and implementing internal controls, risk management frameworks, and governance policies will be essential aspects of your role. Additionally, you will lead financial audits, working closely with external and internal auditors to ensure compliance. Your role will also involve optimizing working capital management, cash flow, and financial risk a...

Prior exp in a listed company is a must Prepare agendas, take minutes, in compliance with the Companies Act, 2013, SEBI LODR, SEBI D&P Regulations Compliances for the AGM for annual reports & e-voting details & coordinating with RTA & Linkintime Required Candidate profile 4+ yrs exp handling Secretarial Activities in Listed Company Preparation & filings with regulators such- MCA, SEBI, RBI Handle SEBI inspections, Secretarial Audit & Internal Audit Call - 8104808547 Perks and benefits 10% Perf Bonus + 10- 40% Revenue Bonus + Mediclaim

Job Description : - Demat Bill Processing of NSDL, CDSL and Commodity Repository bill processing of NERL, CCRL, COMRIS: - Calculate, track, and ensure that all charges like AMCs, transaction fees, other charges are applied accurately to client accounts. Ensure that receipts and payments are accurately recorded. Generate invoices for clients and ensure timely collection and recording of payments Ensure all financial transactions comply with Regulatory guidelines, and other governing bodies standards. Perform daily, weekly, and monthly reconciliation of the financial accounts related to departmental activities Generate and submit daily reports on transactions, reconciliations, and outstanding ...

Job Title : Company Secretary Executive Department: Legal, Secretarial & Compliance Experience Required: 0 - 2 years (Candidates currently pursuing CS and undergoing articleship preferred) Educational Qualifications: Pursuing Company Secretary (CS) course from ICSI (preferably passed Executive level) Graduation in Commerce, Law, or related field (B.Com, BBA, BA LLB, etc.) preferred Key Responsibilities: Assist in the preparation and maintenance of statutory registers, records, and minutes Support in the preparation and filing of ROC forms and returns (e.g., MGT-7, AOC-4, DIR-3 KYC) Draft Board and General Meeting notices, agendas, resolutions, and minutes Assist in ensuring compliance with t...

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...

Listed mobile gaming co.is keen to hire a qualified CA / CMA with 5+ years of exp, who will look into financial operations like Budgeting, Forecasting, MIS reports, leading the finance team for timely closure of all the fillings and due diligence. Required Candidate profile -5+ yrs post qualification in IND AS, tax & compliance (SEBI, ROC, RBI) -Exp in MIS reports, cash flow management, audit, financial due diligence and investor reporting -Prof. in ERP, SAP or similar

Position: Company Secretary (IPO Lead & Compliance Officer) Reporting To: Board of Directors / Audit Committee 1. Job Summary The Company Secretary serves as the Compliance Officer under SEBI and MCA regulations, steering the company through the IPO process and transitioning it into a listed entity. They will ensure legal, regulatory, and governance adherence, coordinate with official and intermediaries, and strengthen corporate disclosure and board effectiveness 2. Key Responsibilities A. IPO Stage (Pre-Listing) i. IPO Strategy & Timeline Management: Formulate and manage IPO workflows (Board approvals, timelines, compliance milestones). Support the constitution and functioning of the IPO St...

Ensure NSE/BSE compliances MCA e-filings Draft Agenda/Notices/Minutes Manage shareholder correspondence Maintain statutory records Handle other secretarial tasks as assigned by management.

Our reputed tax advisory client is looking to hire an enthusiastic Chartered Accountant with 2 to 3 years of PQE in direct taxes advisory. Candidate Criteria: Client is looking for a sharp, dedicated professional with: - Strong academics and analytical skills. - A passion for building a career in Direct tax Preferred: CA with prior experience in Corporate Tax, M&A Tax, Transaction Tax, Transaction Advisory, Valuations, Deals, or Structuring. Role Highlights: In this dynamic role, you will: - Advise and implement strategies for Acquisition/Exit Structuring, Group Structuring, IPO Readiness, Succession Planning, and more such challenges. - Navigate complex tax and regulatory frameworks, includ...

You will be joining PlusWealth Capital Management, a high-frequency trading organization that has been a pioneer in innovative trading solutions since 2008. As a Compliance Manager, your role will involve shaping the future of trading by handling various compliance activities related to Stock Broker and Depository Participant towards regulatory bodies such as SEBI, Stock Exchanges, Depository, and other relevant entities. Your responsibilities will include but are not limited to: - Coordinating with a wide range of stakeholders including Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, and Vendors on a regular basis - Ensuring compliance with Daily, Monthly, Quarterly, Half-...

You have been mandated to lead the legal and compliance function for one of India's premier asset management companies based in Mumbai. Your role involves ensuring strict adherence to SEBI and regulatory frameworks, drafting legal agreements, managing litigation, designing internal policies, conducting audits, leading compliance risk assessments, driving compliance awareness, and managing a team to ensure smooth legal and compliance operations. To excel in this role, you must be a qualified Company Secretary (CS) with an LL.B. degree, and additional qualifications such as CA or B.Com would be advantageous. You should have 12-15 years of experience in legal and compliance roles, preferably in...