390 Sebi Regulations Jobs - Page 4

As a Chief Financial Officer at our client, a prominent organization dedicated to skill development and vocational training, your primary responsibility will be to oversee the financial operations of the company. This includes ensuring compliance with local financial regulations, managing budgets, financial reporting, and driving financial strategy. Your role will play a crucial part in supporting business growth, profitability, and overall socio-economic development by bridging the gap between industry demands and skilled manpower. You will be expected to oversee all financial operations, including accounting, budgeting, forecasting, and financial reporting. Compliance with Indian tax regul...

As a Compliance Manager, your primary responsibility will be monitoring the compliance of SEBI Regulations and International Financial Services Centers Authority (IFSCA) regulations. You will be expected to ensure timely reporting by the Asset Management Company (AMC) and address any exceptions in compliance to SEBI, IFSCA, the Board of AMC, and the Trustees. Additionally, you will be required to submit periodical reports to regulators, the Association of Mutual Funds in India (AMFI), the Board of Trustees, and the AMC in a timely manner. It will also be part of your role to handle and resolve investor grievances promptly. In this position, you will be vetting and approving various communica...

The ideal candidate should possess experience in working with SEBI Regulations such as LODR, ICDR, SBEB & SE Regulations, Companies Act, and Rules related to the issue of capital, board, and general meetings. It is desirable, though not mandatory, to have knowledge of Accounting principles and Taxation aspects related to Equity-based compensation. Additionally, proficiency in drafting legal documents, letters, agreements, etc., is highly preferred. A basic understanding of the operations of various market participants like stock exchanges, proxy firms, and investors is also beneficial. Proficiency in Microsoft Powerpoint, Excel, and Word is crucial, with excellent communication skills essent...

As an Assistant Manager (Secretarial) at JMD Galleria, Sec-48, Gurugram, your primary responsibility will be to efficiently draft, vet, and negotiate various agreements such as MOUs, term sheets, affidavits, power of attorneys, PO, tender documents, etc. You should have a strong understanding of Corporate Laws, Contract Laws, Industrial Laws, Foreign Exchange laws, and tax laws. It is essential to provide legal advice on operational, financial, administrative, and channel partner-related issues. You will be required to liaise with internal and external stakeholders, including Law Firms, Lawyers, Counsel, Consultants, advisors, bankers, statutory authorities, and external rating agencies. Man...

As a Company Secretary at our organization, you will be a vital part of our team. We are seeking a dedicated individual, whether you are a fresher or have previous experience in the field. Your role will involve a deep understanding of corporate laws, SEBI regulations, and governance. A passion for compliance and secretarial practices is essential for success in this position. Join us in building a rewarding career in this dynamic field.,

Job Summary The incumbent for Institutional Equities Compliance will be responsible for ensuring that all equity trading activities conducted on behalf of institutional clients comply with SEBI regulations, stock exchange requirements, and internal compliance frameworks . The role includes advising front-office personnel, monitoring trading activities, managing regulatory issues, and liaising with SEBI and other Market Infrastructure Institutions (MIIs) . Key Responsibilities 1. Regulatory Compliance Ensure compliance with SEBI (Stock Brokers) Regulations, PMLA, SEBI (Prohibition of Insider Trading) Regulations, SEBI (LODR) , and circulars issued by SEBI, NSE, and BSE . Monitor adherence to ...

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We are looking for a qualified and experienced Company Secretary to ensure compliance with statutory and regulatory requirements, support the Board in governance matters, and oversee legal and secretarial functions. The ideal candidate will have experience in a stock broking or financial services environment and possess a deep understanding of SEBI, NSE/BSE, and other regulatory compliances. Key Responsibilities: Regulatory Compliance & Filings: Ensure compliance with Companies Act, SEBI regulations, and applicable laws. Handle filings and returns with ROC, SEBI, NSE, BSE, NSDL/CDSL, etc Liaise with stock exchanges and depositories for various approvals and communications. Thorough knowledge...

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...

Ensure compliance with all regulatory requirements (e.g., SEBI, NSE, BSE, RBI, IRDAI, or other applicable regulators). Maintain and update compliance policies, procedures, and manuals in line with regulatory changes. Conduct periodic internal audits, inspections, and risk assessments to identify gaps and recommend corrective actions. Prepare and submit periodic reports, returns, and filings to regulators and authorities. Monitor client onboarding (KYC/AML checks) and ensure adherence to Anti-Money Laundering (AML) and Prevention of Insider Trading guidelines. Review agreements, contracts, and internal processes for compliance risks. Conduct employee training and awareness sessions on complia...

Ensure compliance with all regulatory requirements (e.g., SEBI, NSE, BSE, RBI, IRDAI, or other applicable regulators). Maintain and update compliance policies, procedures, and manuals in line with regulatory changes. Conduct periodic internal audits, inspections, and risk assessments to identify gaps and recommend corrective actions. Prepare and submit periodic reports, returns, and filings to regulators and authorities. Monitor client onboarding (KYC/AML checks) and ensure adherence to Anti-Money Laundering (AML) and Prevention of Insider Trading guidelines. Review agreements, contracts, and internal processes for compliance risks. Conduct employee training and awareness sessions on complia...

Seeking an experienced Company Secretary (10–15 yrs) Public Ltd (PLC) firm exposure. Responsible for legal compliance, board support, governance, and regulatory filings. Must have CS qualification and strong knowledge of SEBI, RERA and Companies Act.

Role : Company Secretary Location : Delhi Qualification : CS Experience : 10 to 12 Years Job Description : Key Responsibilities: Assist the Company Secretary in orchestrating Board, Committee, and Shareholders Meetings seamlessly. Skillfully draft Resolutions, Notices, Agendas, and Minutes for various meetings, ensuring legal compliance. Prepare comprehensive Annual Reports for multiple companies, adhering to legal obligations. Collaborate on entity incorporation and formation, both domestically and internationally. Showcase your expertise in corporate restructuring including mergers, demergers, and Capital Restructuring. Design, implement, and oversee policies aligned with the Companies Act...

As the largest 3PL company in Eastern India, SVLL provides end-to-end logistics, warehousing, and distribution solutions across 12+ states. Established in 1987, SVLL is on a trajectory to achieve 10x growth by 2030, currently managing over 3.75 million sq. ft. of warehousing space and a fleet of 350+ vehicles. Embracing cutting-edge technology and automation, we focus on operational excellence to serve 65+ leading clients in FMCG, automotive, and e-commerce industries. Join us in shaping India's next-generation logistics ecosystem. What We Offer: - Clear work expectations with a number-based appraisal system. - A 10x growth roadmap for the next 4 years, offering significant opportunities for...

As a CS Trainee at Institute of Company Secretaries of India for a duration of 21 months, you will have the opportunity to gain valuable experience and knowledge in various aspects of corporate law. The minimum qualification required for this position is an Executive Pass. During your training period, you will receive exposure to areas such as Company Law, FEMA, Drafting, legal procedures, SEBI regulations, and other corporate laws. This hands-on experience will provide you with a solid foundation and practical understanding of the legal and regulatory framework within the corporate sector. If you are an interested candidate and meet the minimum qualification criteria, please send your CV to...

Manage end-to-end corporate secretarial activities for a portfolio of clients, including Listed Companies, Institutionally Funded Entities, Foreign Subsidiaries, Family-Owned Businesses, and NBFCs. Ensure timely and accurate compliance with the Companies Act, Secretarial Standards, FEMA Regulations, NBFC Regulations, and SEBI (LODR) Regulations. Take ownership of client management, providing strategic guidance while overseeing the work of junior team members. Implement and improve internal compliance systems to enhance execution and service delivery. Liaise with regulatory authorities, external agencies, and stakeholders to ensure smooth operations and compliance. Review documents prepared b...

Looking for a qualified and dynamic Company Secretary (CS) to join our leadership team and ensure robust governance, compliance, and transparency in all operations. Key Responsibilities Ensure compliance with Companies Act, SEBI, FEMA & other regulations. Manage statutory filings, registers, and secretarial records. Convene & record Board/Committee/General Meetings; prepare agendas, notices & minutes. Draft and vet contracts, agreements, and legal documents. Advise Board on legal, regulatory, and corporate governance matters. Liaise with directors, regulators, auditors & stakeholders. Support in mergers, acquisitions, restructuring, and capital market activities. Monitor regulatory changes a...

The key responsibilities for this position include ensuring statutory compliance and corporate governance by adhering to Companies Act, SEBI (LODR) Regulations, FEMA, and other relevant laws. This involves drafting, reviewing, and filing statutory forms, returns, and documents with regulatory bodies like MCA, SEBI, and Stock Exchanges. Additionally, maintaining statutory registers and minutes for various meetings such as Board Meetings, General Meetings, and Committee Meetings is essential. Conducting Board, AGM, and EGM meetings including drafting notices, resolutions, and minutes is also part of the role. The role also involves overseeing SEBI and Listing Compliance to ensure timely adhere...

As an RA/RIA Partnership Manager at StockGro, you will play a pivotal role in our vision of empowering Indian millennials with investment knowledge. StockGro, India's leading stock market education platform, aims to make trading and investing accessible to all users, from beginners to seasoned traders. You will be at the forefront of identifying and collaborating with the right partners in the advisory business to drive high impact and align with StockGro's mission. Your responsibilities will include: - Identifying RIA partners who resonate with StockGro's vision and audience. - Building and maintaining relationships with financial experts, including SEBI-registered Research Analysts (RA) an...

The Terminal Operator plays a critical role in supporting trading operations by managing and operating stock market trading terminals such as NSE NOW, BSE BOLT, ODIN, NEAT, Bloomberg, or Refinitiv. Your responsibilities include executing trades on behalf of clients or the firm, ensuring compliance with market regulations, and maintaining trading system integrity and uptime. You will act as a bridge between dealers, clients, and back-office operations. Operate equity and derivatives trading terminals (NSE, BSE, MCX, etc.) accurately and swiftly on behalf of clients or dealers. Monitor market movements and terminal alerts in real time to ensure timely actions. Maintain client order books, ensu...

The employer is a tax consulting and regulatory service provider, based out of Parel, Mumbai. The company offers services such as Tax and Regulatory Services, Litigation Assistance, M&A and transaction services, Fund raising & IPO assistance, and Succession Planning. As a Tax and Regulatory Associate, your responsibilities will include undertaking research in tax and regulatory areas, drafting necessary notes and opinions, assisting in creating deliverables in excel, PPT, or word format, drafting emails and other communication, helping with tax compliances including tax return filing, drafting firm materials, thought leadership articles, and maintaining client databases. You will also be res...

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. Liaoning with Govt. Dept., Regulatory Authorities & External Agencies Including ROC, SEBI.

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.

As an SEBI Audit (Fresher) in a reputed CA firm located at Sion, Mumbai, you will be responsible for assisting in the audit, inspection, and compliance of Authorized Persons (APs). This will involve conducting and executing audits of authorized persons of stockbrokers, scrutinizing documents and certificates to ensure regulatory compliance, and examining if authorized persons operate per SEBI regulations and Exchange guidelines. You will also be involved in preparing audit reports, documenting findings, and recommending improvements, as well as implementing circulars issued by SEBI/Exchanges related to AP audits. Additionally, you will handle outstation audits, ensuring smooth execution and ...

As a professional in this role, you will be responsible for identifying and onboarding potential Authorized Partners (APs) who align with the Company's business model. Your duties will include building and maintaining strong relationships with partners to drive client acquisitions and revenue generation. You will also be required to ensure that all APs meet regulatory and compliance requirements as per SEBI guidelines and the Company's AP framework. In this position, you will play a crucial role in driving business through partner referrals, monitoring their performance, and providing ongoing support. It will be essential for you to keep track of industry trends, competitor activities, and b...