228 Sebi Regulations Jobs - Page 6

Datamatics is seeking an experienced and dynamic Company Secretary Qualification: Qualified CS - Company Secretrarial Minimum 2 to 3 years of experience in secretarial compliances preferably from Listed Company. Experience in handling SEBI compliance, guidelines and disclosures Preparation of Annual Report , Directors reports, Convening Annual General Meeting. Male candidate preferred. Good English communications skills (Written & oral) Job location - Andheri (East), Mumbai Immediate to 30 days of joiners preferred

Ensure compliance with SEBI LODR, Companies Act & exchange regulations Organize & manage Board Meetings, AGMs, & EGMs preparation of agendas & minutes Handle ROC filings, maintain statutory registers, company records Liaise with auditors & investors Required Candidate profile - 2 year or more with a Limited company or CS firm - Handled compliance, advisory assignments - Review corporate records, agreements & filings to identify legal and regulatory risks

Compliance with the requirements of the Companies Act, SEBI Regulations, Guidelines, Circulars and SCRA. Prepare Agenda of Board, Committee, Shareholders Meetings. Coordinate with all concerned department and collecting, vetting and formatting all necessary information required for Board. Drafting Agenda for various meetings, filing all necessary forms with Statutory Authorities (MCA, SEBI and Stock Exchanges etc.) Liaoning with Govt. Dept., Regulatory Authorities & External Agencies Including ROC, SEBI

We are looking for Finance Manager for a startup IT product company in Chennai If interested, apply to serena@hr-central.in Role : To manage the end-to-end listing process and ensure timely, accurate, and compliant statutory reporting as per SEBI, ROC, and Stock Exchange regulations. Responsibilities: A. Listing Process (IPO/SME IPO): Coordinate with merchant bankers, legal advisors, auditors, and registrars for IPO readiness Assist in preparation and vetting of DRHP, RHP, and listing documentation Ensure due diligence, statutory disclosures, and financial data validation Liaise with regulatory bodies (SEBI, BSE/NSE, ROC) for approvals and clarifications Track timelines, checklist items, and pre/post-listing compliance requirements Coordinate with CDSL/NSDL for demat connectivity and share allotment processes B. Statutory & Exchange Reporting: Prepare and file quarterly, half-yearly, and annual financial results under SEBI LODR Ensure disclosures under Regulation 30 and 33 of SEBI LODR Prepare Board and Committee presentations for financial/statutory reporting File necessary forms with ROC (MCA21 portal) like AOC-4, MGT-7, PAS-3, etc. Ensure timely compliance with XBRL, secretarial audit, and listing regulations Maintain updated compliance registers and statutory documents C. Liaison & Governance: Interface with statutory auditors, internal auditors, and secretarial auditors Support board governance by preparing notices, agendas, and minutes for meetings related to listing and statutory compliance Ensure adherence to Companies Act 2013, SEBI ICDR, LODR, and FEMA (if applicable) Skills : CS with at least 3 years experience in Reporting to stock exchanges is mandatory Immediate to 30 days max notice period Excellent communication skills regards Serena serena@hr-central.in

JOB DESCRIPTION: Preparation and ongoing maintenance of transaction synopses, with regular monitoring of material events and critical developments per transaction. Coordination with cross-functional teams (Legal, Compliance, and Accounts) to ensure seamless transaction execution, regulatory compliance, fee realization, and workflow integrity. Monitoring of interest payments and conducting timely follow-ups with clients and statutory bodies in compliance with SEBI regulations and contractual obligations. Management of the ERP system, including uploading transaction documentation, maintaining payment schedules, confirming payments, and recording execution-related entries. Facilitation and coordination of document execution with counterparties, POA holders, trustees, and authorized internal signatories. Processing and settlement of invoices related to POA and transaction-related services, ensuring proper documentation and authorization. Monitoring of shareholding patterns and coordinating associated fund transfers in accordance with legal and financial requirements. Preparation and issuance of No Objection Certificates (NOCs) for property transfers, partial/full redemptions, refinancing, satisfaction of charges, and related activities. Maintenance of a custody register for executed documents across designated custodial entities, office locations, and other secured repositories. Execution and administration of share pledging and unpledging, including due diligence, documentation review, and compliance with security agreements. Drafting and issuance of custody letters, confirmation notices, and related correspondences in accordance with internal legal protocols. Entry and validation of data on regulatory platforms such as CERSAI, NESL, ISIN MIS, and DLT systems, ensuring compliance with maker-checker workflows and audit trails. Assistance during internal and external audits by providing documentation, transaction trails, and compliance clarifications. Maintenance of version control and archival systems for executed agreements, client communications, and approvals. Preparation of MIS reports and dashboards covering transaction progress, compliance metrics, and document tracking. Development and periodic review of Standard Operating Procedures (SOPs), workflows, and checklists to align with evolving compliance and operational norms. Coordination with rating agencies, debenture trustees, and depositories to ensure compliance, information sharing, and transaction closure. Maintenance of trackers and calendars for regulatory filings and disclosures under SEBI, RBI, MCA, and other applicable authorities. Safeguarding the confidentiality and legal integrity of all sensitive documents and information in line with data protection and company policy. Participation in training sessions, policy reviews, and legal updates to stay abreast of changing regulatory frameworks and compliance practices. Support for client onboarding, including KYC/AML checks, legal documentation, and operational readiness for transaction processing. Escalation of deviations, delays, or process breaches to relevant stakeholders for prompt resolution within defined turnaround times (TATs). Liaising with clients to obtain statutory disclosures and regulatory filings, such as BENPOS, QCR, HLY disclosures, and other required documentation.

Seeking for a proactive Senior Executive CS with strong knowledge of the Companies Act and SEBI Listing Regulations to manage corporate secretarial functions and compliance for group companies.

Job Title: Regulatory & Legal Specialist SEBI & IFSCA (For Chartered Accountants) Location: Jaipur (On-Site) Employment Type: Full-Time | Monday to Saturday | 10:00 AM 06:30 PM About the Role: Kedia Corporate Advisors Pvt. Ltd. (KCAPL) is looking for a qualified Chartered Accountant to join our Regulatory & Legal Advisory team. This role is ideal for professionals eager to specialize in SEBI and IFSCA (GIFT City) regulations and contribute to high-impact compliance projects involving Alternative Investment Funds (AIFs), Real Estate Investment Trusts (REITs), Small & Medium REITs (SM REITs), and GIFT City entities . You will lead end-to-end compliance execution, regulatory filings, and client advisory in a fast-evolving financial regulatory landscape. Key Responsibilities: SEBI Regulatory Compliance: Manage compliance for AIFs, REITs, and SM REITs under SEBI regulations. Draft and review offering documents, trust deeds, investment management agreements, and fund-related disclosures. Prepare and file SEBI registration documents, periodic reports, and event-based filings. Track changes in SEBI guidelines and ensure timely implementation for client entities. IFSCA Compliance & Advisory (GIFT City): Assist clients in structuring and setting up financial entities under the IFSCA framework. Draft applications, compliance reports, and operational documents as per IFSCA norms. Coordinate with the IFSCA for registrations, clarifications, and approvals. Monitor and ensure compliance with ongoing GIFT City regulatory requirements. Client Engagement & Strategic Advisory: Serve as the single point of contact for assigned clients on SEBI and IFSCA matters. Conduct financial and regulatory due diligence for funds, trust structures, and investment entities. Collaborate with legal teams to interpret regulatory frameworks and prepare client memoranda. Documentation & Reporting: Draft regulatory opinions, compliance reports, internal control checklists, and SOPs. Maintain meticulous records of correspondence, filings, and regulator interactions. Candidate Profile: Education: Chartered Accountant (CA) Experience: 2-4 years (Freshers with relevant internships may apply) Skills & Competencies Required: Strong understanding of: SEBI Regulations : AIFs, REITs, SM REITs, and Investment Adviser norms. IFSCA Guidelines : Financial product approvals, entity setup, and operational compliance. Trust structures, securities law principles, and corporate finance. Excellent drafting skills for fund documents, agreements, and regulatory filings. Ability to interpret, apply, and explain complex regulatory frameworks. Proficiency in financial and compliance research. Strong written and spoken communication (English and Hindi). Detail-oriented and well-organized in managing documentation and deadlines. Preferred Attributes: Familiarity with fund structuring, investor reporting, and legal-financial coordination. Interest in capital markets, financial services innovation, and regulatory transformation. What We Offer: Opportunity to work on cutting-edge SEBI & IFSCA regulatory developments. Exposure to India's evolving fund ecosystem and offshore GIFT City platforms. Client interaction with prominent AIFs, REITs, and financial entities. Inclusive workplace and structured professional development. Competitive compensation aligned with experience and capability. How to Apply: Submit your resume to info@kcapl.com Subject Line: Application for CA SEBI & IFSCA Compliance Role Note: This position is only for Chartered Accountants . Kindly apply only if genuinely interested and willing to work full-time from our Jaipur office. Only shortlisted candidates will be contacted for further process.

Amazin Automation: Job Title: Company Secretary (SME IPO Specialist) Experience: Minimum 5 years (with strong expertise in SME IPOs) Key Responsibilities: Ensure compliance with SEBI regulations, the Companies Act, and stock exchange listing requirements. Manage end-to-end SME IPO processes, including documentation, filings, and regulatory coordination. Advise the board on corporate governance, secretarial matters, and compliance. Liaise with regulators, legal advisors, auditors, and other stakeholders. Qualifications: ACS/FCS with a valid membership of ICSI. Proven track record in handling SME IPOs and capital market transactions. In-depth knowledge of SEBI guidelines, LODR, and corporate laws. Compensation: Attractive salary

Responsibilities for the job Support Lead in providing business advisory in order to ensure clear understanding. Disseminating regulations to business and support function and provide ongoing advisory services. Support in overseeing the critical Compliance policies and systems that impact the NBFC and ensure that the Groups exposure to Regulatory Compliance is managed in a commercially sensitive, practical and cost-effective manner. Good understanding of regulatory agency examining NBFCs, in the field of regulatory compliance providing advice and/or guidance on NBFC regulations. Act as advisory to training team wrt to compliance policies and processes to be followed. Act as advisor to all other departments including all other assurance function. Escalate appropriate concerns to Business compliance and management. Handling RBI reporting. Drafting and review of regulatory policies. Preparing and review of SOPs of various department Organising and conducting Compliance trainings. Analysing penalties imposed by RBI and corresponding lacunas in the system Supporting Lead in Inspections conducted by Regulators Supporting Lead in end to end implementation of RBI Circulars Assisting in preparing responses for various Inspection reports, taking corrective measures and monitoring the same. Other Key Responsibilities: Participate in departmental projects and initiatives, take initiatives for improving compliance culture Eligibility Criteria for the Job Education CS with specific experience of RBI related compliances. Should have ability to read, understand and explain financial statements and its disclosures Work Experience 8-10 years Technical Skills Good knowledge of the industrys standards and regulations. Good knowledge of working on excel and making presentations. Management Skills Problem-Solving, Seeing the big picture, Management Presentation. Soft Skills String Communication Skills and Inter personal Skills Compliance Skill Set: Compliance officers play a crucial role in ensuring that we follow regulations and laws, especially in the fight against money laundering and financial crimes. The compliance function is vital for any organization to maintain a good reputation and protect themselves from legal and financial consequences. With the constantly changing regulatory landscape, it's crucial that we have compliance officers who are up-to-date and have the necessary skills to navigate the challenges of the role. As more and more companies are impacted by financial crimes, it's becoming increasingly important for compliance officers to have the right combination of knowledge, experience, and skills. We need individuals who are able to keep up with the latest developments in the industry, assess risks, and make informed decisions. We also need individuals who can communicate effectively and work collaboratively with other departments to ensure that our compliance policies are properly implemented and followed. Furthermore, the role of compliance officers is becoming increasingly complex as technology continues to evolve. With the rise of digital currencies, mobile banking, and other financial technologies, we need individuals who can understand and utilize these technologies in the fight against financial crimes. Compliance officers must have a good understanding of IT systems and be able to implement and use AML software etc to monitor and detect suspicious activities, process gaps etc. Key Skills in Compliance: Integrity: Integrity is an essential characteristic of any profession. Trusting the employee is very important for companies, especially in sectors with risks such as financial technologies and severe losses. Compliance officers should be transparent with their colleagues, and there should be an atmosphere of trust within the team. It is necessary to make the tasks aware of each other to minimize the margin of error. Attention to Detail: Regulation technologies are updated and renewed frequently. Therefore, it requires people in this industry to keep themselves updated. As regulatory requirements change rapidly, compliance officers must pay attention to and understand them in Detail. Requirements may differ between regions. Compliance officers must follow these details using technology for a healthier compliance mechanism. Compliance officers also must have an eye for details in the various business processes of the Company so that he/she is confident that there is no violation of compliance anywhere. Industry Knowledge: Industry knowledge is essential for employees in all positions. Compliance officers should also follow and know the sector very well. Professionals should be aware of the latest financial crime and money laundering developments, except to follow relevant legal requirements. As it is known, with the development of technology, criminals find and apply new methods every day. Compliance officers should keep track of whether criminals are developing new tactics. Risk Assessment: Risk assessment is vital to compliance. As is known, dealing with financial crimes is quite risky. Employees in this sector strive to minimize this risk. Compliance officers need to consider all factors that contribute to risk scoring. Considering that these risk scores lead to broader business decisions, their implications are understandable. Problem-Solving: One of the routine works of compliance officers is to face problems. Problem-solving ability is essential for compliance officers as well as in many other business lines. The reason for this is the risky nature of the sector. Where there is a risk, decision-makers need to solve the problem with the right method. Practical problem solving is possible with creative and analytical Thinking. Compliance officers face issues such as uncertain regulatory policies and cost issues. For this reason, to create a specific policy, it should be able to identify the risk and solve the problem with a structured and straightforward method. Ability to Interpret: Compliance officers decide whether the person will be guilty as a result of the alarms generated. The only thing you have when making this decision is data. For this reason, the ability to interpret data is essential. The data are not entirely black and white, and there are greys. For this reason, compliance officers need to look at the data they have and understand whether the transaction is a crime. They must draw logical conclusions and decide from the greys in the operations. Seeing the Big Picture: Seeing the big picture may not be a talent, but compliance officers should have this feature. Seeing the big picture is vital for the following reasons. There is a continually changing and renewed system in the sector. Regulators and criminals are improving and scrambling to anticipate the other side's next move. Compliance officers should understand this system and be able to establish their system. Understand what the organizers are trying to achieve and how they can implement it in their approach. Communication: As in every position in business life, compliance officers should also have strong communication. Written and verbal communication skills are critical. This is because the compliance officer must collaborate with everyone within the company, from frontline personnel to the CEO and the board of directors. Compliance officers may need to share relevant and comprehensive information with all company staff at appropriate times. Critical Thinking: Critical Thinking is essential for a compliance officer to do their job right. Critical and Analytical Thinking is essential for analyzing data and making strategic actions. Critical Thinking is among the most crucial adaptation skills in the report prepared by KPMG. The report states the basic principles required for Critical Thinking as follows; open-mindedness, situation analysis, providing context, brainstorming, and conclusion. Being critical of problems to overcome them is a savior for compliance officers. Knowledge About Vulnerability: Administrators must have Knowledge of security policies. In this way, the security vulnerabilities that arise and detect in the system can be prevented without any problems. Compliance officers must have a clear understanding of ISO standards, response regulations, control and abuse policies, monitoring and evaluation techniques, and safety standards such as performance reporting.

Company Secretary with 5+ years of work experience required in a listed manufacturing organisation located at Navi Mumbai (nearby Turbhe / Juinagar station) Kindly share CVs to shadabpatel93@gmail.com with the subject line "CS - Turbhe / Juinagar"

Greetings from Teamware Solutions!! We are hiring for Topmost Investment Banking Role: Market Registration Location: Mumbai (Preferred local candidates) Exp: 3-6 Years Notice Period: Immediate - 30 Days Interested candidates please share your updated resume to srividhya.g@twsol.com Primary Responsibilities - Work with Investment teams, Portfolio services to understand and prioritize market opening requirements per investment strategy. - Co-ordinate with client relationship managers, investment team and internal signatories to ensure timely completion of market opening along with relevant legalization requirements per jurisdiction as advised by custodians. - Ensure stakeholders are made aware of progress with regular status updates and prompt responses to queries. - Process market renewals prior to market expiry for jurisdictions in scope such as India, Indonesia, Egypt, Slovenia. Initiate market fee payments requests with internal teams where applicable - Assist in preparing a framework to track regulatory requirements for global regulators including SEBI and ensure that relevant notifications pertaining Material changes’ are communicated to custodians in a timely manner - Complete internal operational setups for our Separately managed accounts after the relevant market openings are completed by clients - Validate market status for investment team by reviewing the same with custodians and checking internal setup prior to the placement of a trade - Work with custodians to complete documents related to sub custodian changes in local markets to ensure no impact to trading - Respond to counterparty KYC (Know Your Client) requests related to periodic broker requirements for MSIM entities by coordinating with various internal teams such legal, compliance, finance and investment teams Skills Required (essential) - A sound understanding of investment operations including mutual funds - Strong attention to detail - Excellent organizational and project management skills - Strong verbal and written communication skills - Ability to interact with multiple internal and external parties including custodians, client relationship managers, legal, compliance, investment teams, sales, and other functional operations teams - Ability to manage various tasks at once and work with several members of the team simultaneously - Ability to work effectively with minimal supervision Skills Desired Knowledge of current SEBI regulations and ability to apply the same in a practical scenario Experience with global markets including documentation and legalization requirements.

To maintain corporate records, compliance with SEBI & other regulatory authorities, corporate governance, & facilitating smooth operation of the company’s boards and committees, with a particular focus on the AIF and PMS businesses. Required Candidate profile Qualified Company Secretary (ACS)from (ICSI). LLB or equivalent qualification is preferred 8-10 years of ex. in C.S.roles, preferably in an Asset Management Company, PMS, or AIF industry I

Paytm Money Limited is a SEBI registered Stock Broker and Depository Participant that offers services related to Equity & Derivatives trading, Depository services, investment in IPOs. It is focused on simplified user experience and allow users to start your investment journey with zero paperwork, seamless digital KYC, automated payments, updated portfolio and powerful insights to make well-informed investment decisions. Paytm Money is also registered with PFRDA as Point Of Presence, offering investment in Nation Pension System (NPS). It is a fully owned subsidiary of One 97 Communications Limited, a listed entity in NSE and BSE. Paytm is Indias largest digital payment app which makes it secure and seamless to pay using UPI, make bill payments, recharge mobiles, DTH, data card & Metro Card etc anywhere in India. 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 compliance reviews and audits. Maintain accurate records of compliance activities and findings. Support the senior compliance team in conducting investigations into compliance breaches and implementing corrective actions. Occasional traveling might be required. Qualifications: Bachelors degree in Finance, Business Administration, Law, or a related field with minimum 5-7 years of experience Familiarity with SEBI regulations and compliance requirements. Strong analytical skills and attention to detail. Excellent written and verbal communication skills. Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint). Preferred Skills: Previous experience in compliance, risk management, or a related field is a plus. Knowledge of financial markets and investment products.

corporate governance, ensure legal compliance, manage Board/shareholder meetings, handle statutory filings, liaise with regulators, provide legal advisory and strengthen internal controls. Maintain compliance with SEBI regulations,stock exchange req.

We are looking for a detail-oriented Audit Executive to join our Compliance & Documentation team. The candidate will be responsible for conducting audits on transactional, regulatory, documentation, ERP, and DLT processes, ensuring full adherence to SEBI regulations, Companies Act, and internal policies. Role & responsibilities: A. Transactional Audit Verify execution of all required documents for debt transactions. Check condition precedent documentation and timelines. Ensure Due Diligence Agreements (DTA) and certificates from empaneled professionals (CA, CS, Advocates, Valuers) are in place. Confirm In-Principle approval from the Stock Exchange and creation of securities within regulatory timelines. Check issuance of Due Diligence certificates (Annexure A & B) and their timelines. Validate execution of Debenture Trust Deed (DTD), receipt of ISIN letters, GID/KID availability, listing applications and approvals. B. Regulatory Audit Confirm all procedures for listed transactions comply with SEBI, Companies Act, and other regulatory frameworks. Review Preliminary Information Questionnaire (PIQ). C. Document Audit Review documentation for completeness: Proper signatures and stamps Blanks filled and counter-signed Proper dating and custody of originals D. ERP Audit Ensure proper execution and upload of documents into the ERP system. Validate accurate data entry including execution dates. E. DLT Audit Confirm necessary entries on the DLT platform by Issuers and Trustees. Check covenant entries and cash flow schedule compliance. Review deviation approvals (if Due Diligence is not issued via DLT). Verify SEBI has been informed in cases of issuer non-compliance. Preferred candidate profile: Good knowledge of SEBI regulations and Companies Act Familiarity with documentation and listing processes in capital markets Attention to detail and strong documentation audit skills Proficiency in MS Office and ERP systems Experience with DLT platform (preferred but not mandatory)

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.

We are looking for a qualified and experienced Company Secretary to join our team in Gurugram. The ideal candidate will play a crucial role in ensuring corporate governance, statutory compliance, and regulatory reporting in line with applicable laws. This is a strategic role offering exposure to senior leadership and cross-functional collaboration. Keywords Ensure compliance with Companies Act, 2013 and other relevant corporate and regulatory requirements. Manage board and committee meetings prepare agendas, draft minutes, and maintain statutory records. Handle ROC/MCA filings, including incorporation, annual returns, and other statutory submissions. Advise management on corporate governance best practices and legal implications of strategic decisions. Draft resolutions, board reports, and maintain registers and secretarial records. Liaise with external regulators, auditors, and legal counsel as necessary. Support in fundraising and due diligence processes, managing investor documentation and cap table records. Assist with shareholding structures, ESOP administration, and regulatory disclosures. Work Experience 5 to 10 years of post-qualification experience, preferably in a high-growth startup or tech-driven organization. Required Skills Must be based in Gurgaon or willing to relocate immediately. Member of the Institute of Company Secretaries of India (ICSI). 5 to 10 years of post-qualification experience, preferably in a high-growth startup or tech-driven organization. Strong knowledge of corporate and secretarial laws, SEBI regulations, and compliance frameworks. Excellent drafting, communication, and interpersonal skills. High attention to detail, proactive problem-solving approach, and ability to work independently. Prior experience with VC-funded companies and handling investor relations is a plus. Preferred Attributes Prior experience working with fleet operators, real estate developers, or government departments.

Role & responsibilities Lead and manage secretarial functions for the company and its group entities in compliance with the Companies Act, 2013. Maintain and update all statutory registers and records as per regulatory requirements. Prepare and file annual returns, XBRL reports, charge forms, and other e-forms with the Registrar of Companies within prescribed timelines. Draft the Annual Report ensuring all statutory disclosures are included; coordinate finalization, printing, and dispatch to shareholders. Ensure timely filing of RBI-related returns such as FLA, ODI/APR, and quarterly IOS. Liaise with Finance and Treasury departments to monitor and ensure compliance with banking and treasury regulations. Coordinate with statutory, secretarial, cost, and due diligence auditors to ensure timely completion of audits and submission of reports. Address audit queries and ensure implementation of audit recommendations. Coordinate with IPR consultants for new and renewal trademark filings; monitor trademark status and submit quarterly reports to the Company Secretary. Manage shareholder-related activities including share transfers, transmissions, dividend payments, and investor correspondence. Ensure compliance with SEBI regulations and maintain effective communication with shareholders. Monitor compliance with all applicable laws and regulations; report any non-compliance to the relevant department and Company Secretary. Regularly update the company website with statutory disclosures and compliance-related information. Collaborate with internal departments including Finance, Legal, and Accounts to ensure alignment and timely execution of compliance-related activities. Scrutinize sanction letters, loan agreements, and coordinate with banks and internal departments for clarifications and compliance Preferred candidate profile

Role & responsibilities Corporate Governance & Secretarial Compliance - Advise the Board and senior management on good governance practices aligned to Indian and global standards (OECD, IFC, etc.). - Ensure full compliance with the Companies Act, 2013, SEBI regulations (if applicable), FEMA, CSR, and other statutory provisions. - Manage the incorporation, conversion, merger, or winding up of entities in India or overseas. - Ensure timely filing of statutory returns, resolutions, and ROC/LLP filings for all group entities. - Coordinate and document Board, Committee, and General Meetings including digital/hybrid governance formats. - Maintain corporate records, shareholding registers, investor relations documentation, and regulatory correspondences. Business Restructuring, M&A, and Governance Integration Internal Controls, ESG, and Global Compliance Trends Contribute to ESG initiatives from a governance and compliance angle. - Track emerging international laws impacting global supply chains, sustainability, and digital compliance. Legal Advisory and Risk Management Draft, review, and negotiate domestic and international commercial contracts, MoUs, NDAs, agency, distributor, franchise, and licensing agreements. - Advise on laws related to competition, data privacy (including GDPR if applicable), FDI, FEMA, employment, ESG, and industry-specific regulatory frameworks. - Monitor and mitigate legal risks across operational and strategic areas including procurement, marketing, export/import, and joint ventures. Interface with statutory bodies such as MCA, SEBI, RBI, Pollution Control Board, Legal Metrology, etc. Preferred candidate profile

Hiring: Market Registration & Entity KYC Investment Management Operations (Mumbai, Hybrid) We are looking for an investment operations professional with 4-7 years of experience to join our team. Location : Mumbai (Hybrid) | Laptop Provided for WFH Notice Period : Immediate to 30days | Interview Mode : 1 Virtual, 1 In-Person | Timings: 1:30pm 10:30pm Apply now to saikeertana@twsol.com Key Responsibilities: Oversee market opening & renewal for global jurisdictions (India, Indonesia, Egypt, Slovenia). Collaborate with investment teams, custodians, and compliance for seamless market entry. Track SEBI & global regulatory updates and ensure timely communication. Manage KYC documentation and counterparty requests. Must-Have Skills: Strong knowledge of investment operations (mutual funds). Project management & stakeholder coordination expertise. Ability to multitask and work with multiple teams. Good-to-Have: Experience with SEBI regulations & global market documentation.

Greetings from Teamware Solutions!! We are hiring for Topmost Investment Banking Role: Market Registration Location: Mumbai (Preferred local candidates) Exp: 3-6 Years Notice Period: Immediate - 30 Days Interested candidates please share your updated resume to srividhya.g@twsol.com Primary Responsibilities - Work with Investment teams, Portfolio services to understand and prioritize market opening requirements per investment strategy. - Co-ordinate with client relationship managers, investment team and internal signatories to ensure timely completion of market opening along with relevant legalization requirements per jurisdiction as advised by custodians. - Ensure stakeholders are made aware of progress with regular status updates and prompt responses to queries. - Process market renewals prior to market expiry for jurisdictions in scope such as India, Indonesia, Egypt, Slovenia. Initiate market fee payments requests with internal teams where applicable - Assist in preparing a framework to track regulatory requirements for global regulators including SEBI and ensure that relevant notifications pertaining Material changes’ are communicated to custodians in a timely manner - Complete internal operational setups for our Separately managed accounts after the relevant market openings are completed by clients - Validate market status for investment team by reviewing the same with custodians and checking internal setup prior to the placement of a trade - Work with custodians to complete documents related to sub custodian changes in local markets to ensure no impact to trading - Respond to counterparty KYC (Know Your Client) requests related to periodic broker requirements for MSIM entities by coordinating with various internal teams such legal, compliance, finance and investment teams Skills Required (essential) - A sound understanding of investment operations including mutual funds - Strong attention to detail - Excellent organizational and project management skills - Strong verbal and written communication skills - Ability to interact with multiple internal and external parties including custodians, client relationship managers, legal, compliance, investment teams, sales, and other functional operations teams - Ability to manage various tasks at once and work with several members of the team simultaneously - Ability to work effectively with minimal supervision Skills Desired Knowledge of current SEBI regulations and ability to apply the same in a practical scenario Experience with global markets including documentation and legalization requirements.

Greetings from SoftTech!!! Founded in 1996 and headquartered in Pune, India, SoftTech Engineers Limited. is a leading software product company that started as an entrepreneurial venture in creating innovative software and intellectual property in the architecture, engineering and construction (AEC) domains. We constantly improve and maintain our high-quality solutions through dedicated, proactive market research and developmental efforts. https://softtechglobal.com/ Role : Company Secretary Job Responsibilities: Event wise, quarterly, half yearly, yearly compliances under the Companies Act, SEBI regulations Conducting Board, Committee and Shareholders meeting and handling Pre and post compliances including preparing agendas, minutes, relevant documents. Draft agendas, notices, and minutes of Board Meetings, Committee Meetings, and General Meetings. Co-ordination with regulatory authorities, shareholders, and other stakeholders. Liaise with consultants, legal advisors, and internal teams to ensure seamless execution and compliance. Monitoring and drafting compliances and corporate policies applicable to the organization including managing Insider Trading System. Handling Dividend Payment Compliances and IEPF activities. Preparation and updating of Statutory Registers and records. Experience of executing corporate actions for allotment of securities. Preparation and filing of applicable forms and returns under the Companies Act with MCA/ ROC such as for creation, modification and satisfaction of charge, appointment and resignation of Directors, Appointment of Auditors, and other event based filings. Assistance in preparation of Annual Report and Annual filing. Handling of IPR related filings Drafting, vetting of the agreements required for operations of the Company Handling and keeping record of compliances of overseas subsidiary Companies Ensure compliance with SEBI (SBEBSE) Regulations and monitor ESOP related disclosures and filings. Handling preferential issues, including the submission of In-Principle Applications to Stock Exchanges under Regulation 28 of SEBI LODR, followed by applications for Listing Approval and Corporate Actions. Administered the postal ballot process. Organized and managed the Extraordinary General Meeting (EOGM).

Industry :- BFSI Head Office Location :- Bangalore 1. Role Purpose Handling Reserve Bank of India (RBI) Compliances applicable to NBFC-Non-Deposit-Systematically Important (Middle Layer NBFC) & other compliances applicable to the Company. Key Accountabilities :- Ensuring compliance to RBI regulations applicable to NBFCs Develop and support implementation of company policies and regulations Design and monitor control systems to deal with violations of legal rules and internal policies Regularly assess the efficiency of control systems and recommend effective improvements Review and evaluate company procedures and reports to identify hidden risks or common issues Coordinate with different department managers to review all departmental compliance policies Perform periodic compliance audits on company procedures and processes Implement procedures to ensure compliance with regulations and advise internal departments on how to meet compliance requirements Lead employee training sessions on legal and compliance issues Assist in handling compliances under Companies Act / SEBI & e-filing Assist in organizing Board / Committee Meetings Handling any other compliances as may be applicable to the Company For more details or to apply for this opportunity, email your updated Resume or CV on nitish.o3hire@gmail.com

Role & responsibilities 1. Trade Surveillance: Monitor real-time and post-trade activities for detecting and prevent market abuse and fraudulent practices. Review and investigate alerts generated by surveillance systems Document investigation outcomes, escalate suspicious cases and maintain appropriate audit trails. 2. Anti-Money Laundering (AML) Monitoring: Supervise implementation of AML systems and processes in line with SEBIs PMLA Guidelines. Review alerts for suspicious transactions (STRs), large or structured transactions, and unusual fund movements. Conduct periodic AML risk assessments and support KYC/CDD reviews. 3. Dealer & Terminal Monitoring: Monitor activities of dealers and trading terminals to ensure compliance with internal dealing code/ policies and regulatory norms. Detect unauthorized trades, self-trading, abnormal trading patterns. Implement surveillance logs, terminal mapping controls, and automated alerts for critical thresholds. 4. Pre-Trade Confirmation Monitoring: Monitor order placement and reconciliation of pre-order instructions with order logs. Coordinate with relevant teams and ensure availability of records. 5. Regulatory Reporting & Compliance: Ensure timely filing of surveillance and AML-related reports to Stock Exchanges, Depositories and FIU-IND. Respond to regulatory queries, inspection findings, and audit requests with accuracy and diligence. Stay abreast of circulars and updates from SEBI, Exchanges and Depositories regarding surveillance and AML obligations. 6. Technology & Process Improvements: Evaluate and implement new surveillance/AML tools and enhancements for greater efficiency and coverage. Automate alert workflows and MIS generation to improve productivity and reporting accuracy. Adapting to new surveillance technologies and tools, and integrating them effectively into existing systems. 7. Team Management & Training: Lead and mentor a team of surveillance and compliance analysts. Conduct regular training and awareness sessions on market surveillance, AML, and regulatory updates. 8. Internal Reporting: Prepare dashboards and MIS for senior management summarizing key surveillance activities, breaches, and corrective actions. Escalate high-risk issues to the compliance committee and senior leadership as required.