228 Sebi Regulations Jobs - Page 7

Job Title: Compliance Officer Location: Ahmedabad Employment Type: Full-Time About the Role: We are seeking a detail-oriented and proactive Compliance Officer to join our Asset Management Company. The candidate will be responsible for ensuring adherence to all regulatory requirements laid down by SEBI, AMFI, and other relevant authorities, while also supporting internal policies, controls, and risk management frameworks. Key Responsibilities: Regulatory Compliance: Ensure ongoing compliance with SEBI (Mutual Fund) Regulations , AMFI Guidelines, and circulars. Monitor and interpret changes in relevant laws, regulations, and guidelines applicable to asset management. File mandatory regulatory reports with SEBI, AMFI, and other authorities within stipulated timelines. Fund & Operational Oversight: Monitor day-to-day AMC activities to ensure they align with compliance policies. Review product documents (SID, KIM, Fact Sheets) for regulatory adherence before launch or update. Oversee compliance processes related to fund accounting, NAV disclosure, and investor servicing. Internal Controls & Risk Management: Develop, implement, and continuously improve compliance frameworks, SOPs, and internal controls. Conduct periodic compliance audits and risk assessments across departments. Investigate potential compliance violations and recommend corrective actions. Training & Awareness: Conduct compliance awareness sessions for employees and key stakeholders. Support the team in understanding new regulatory developments and their impact. Stakeholder Coordination: Liaise with SEBI, AMFI, auditors, and internal teams for inspections, queries, and audits. Maintain updated compliance records, correspondence, and documentation. Qualifications & Experience: Bachelors or Masters degree in Law, Finance, Commerce , or related field. 35 years of experience in a compliance role within an AMC, mutual fund, or related financial services sector. Strong knowledge of SEBI Mutual Fund Regulations, AMFI Guidelines, and regulatory frameworks. NISM certification preferred. Skills & Attributes: Attention to detail with excellent analytical and problem-solving skills. Strong verbal and written communication. High ethical standards, integrity, and ability to handle confidential matters.

About: - We are looking for a skillful and enthusiastic Company Secretary with at least of 3-5 years of post qualification experience in similar profile across industry. - The incumbent will be the sole owner of ensuring compliance under the Companies Act 2013 and the applicable SEBI Regulations as amended from time to time and other acts in respect of company and its group companies. Key Responsibilities: - Performing duties as a Compliance Officer and Company Secretary in terms of the Listing Regulations and other applicable SEBI Laws, Companies Act and shall ensure compliance of SEBI Laws and Depositories Act as applicable - To ensure timely compliance of all the quarterly, half yearly, annual and event based compliances applicable to a debt listed Company under SEBI (LODR) Regulations, SEBI (PIT) Regulations and all other applicable SEBI Regulations - To co-ordinate, correspond and liaison with BSE, NSDL, CDSL, Debenture trustees, lawyers, consultants and all such parties on behalf of the Company. - Advising the board and management committees on all statutory and constitutional requirements to ensure that business is conducted in a proper and effective manner - Involved in Public Issue, Listing and Securities Management depending on Company Strategy - Prepare and maintain minutes, statutory books including registers of members, directors and secretaries; and filing of return with Registrar of Companies, Regional Director, NCLT, Stock Exchanges and Government in respect of company and its group companies. - Preparation and filing of all necessary forms, returns with MCA/RoC as applicable under the Companies Act. - Prepare necessary applications for allotment of land from state government authorities etc. and coordinate all related matters - Applying due diligence to ensure compliance of all ROC/statutory issues - Advising the company on arbitration, negotiation and conciliation in commercial disputes - Such other responsibilities as may be given by the Management between various parties - Such other responsibilities as may be given by the Management.

About Bigul Join Bigul, a dynamic and innovative platform transforming the future of trading! Backed by the seasoned veteran of the industry, Bonanza group, Bigul is at the forefront of transforming the stock market with cutting-edge technology and customer-centric solutions. At Bigul, you'll find a vibrant and healthy work culture, growth opportunities, and the chance to make a real impact in the world of finance. If you're passionate about innovation, thrive in a fast-paced environment, and are looking for an exciting career with a forward-thinking company, Bigul is the place for you! ________________________________________________________________ About Business line: It plays a crucial role in ensuring that the firm adheres to regulatory standards and operates within legal frameworks set by financial authorities. The compliance function is responsible for protecting the firm from legal risks, maintaining market integrity, and safeguarding customer interests. This business line has become increasingly important due to the complex regulatory environment governing financial markets. Role Overview: The role involves ensuring that the brokerage firm's operations adhere to regulatory requirements, internal policies, and industry standards. This position involves overseeing the compliance framework within a discount broking environment, where cost-effective trading solutions are provided to clients without the full-service brokerage experience. The AVP of Compliance will play a crucial role in managing compliance risks, implementing policies, and maintaining regulatory relationships to safeguard the firm's reputation and operational integrity. Responsibilities: Expertise in drafting clear and professional correspondence and other documents of a legal, compliance, and business nature Involves ensuring compliance with SEBI & other applicable rules and regulations of the stock exchanges i.e., NSE & BSE, and depositories, clearing corporations, daily settlements, return filing, client communications, monitoring operations, reporting, empanelment, liaising with the back office of institutional cum HNI clients, other days to day back-office work wrt 'Depository Participant and Stock Surveillance - Implementing systems to monitor trading activities for suspicious patterns, ensuring compliance as guided by exchange and SEBI Manage all operational processes as per the regulatory framework to ensure exchange compliance To ensure KYC compliance, ID creations, CDSL ID and AP related compliance should be as per SEBI norms To ensure the exchange approvals related software and Algos Facilitate preparation & timely submission of various forms, reports, and other documents to Exchanges/Depositories. 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. Assisting in handling Investor Grievances as per regulatory guidelines. Reviewing & updating company forms and internal documents in line with applicable stock broking / DP guidelines. Liaising with Exchanges, Depositories for routine matters Ensure process-oriented, TAT-driven process as per defined SOP. Any other compliance matters as assigned from time to time To ensure the all-published advertisement should be as per compliance

Job Title: Company Secretary Location: Galaxy by Auro realty, Hyderabad Company: Indosol Solar Private Limited Experience: 3-6 years Position Overview: Indosol Solar is seeking an experienced and dynamic Company Secretary to join our growing team. As a Company Secretary, you will play a key role in ensuring the effective and efficient administration of the company's corporate governance, legal, compliance, and secretarial activities. You will be responsible for providing high-quality support to the Board of Directors and senior management, while ensuring the organization meets all regulatory and legal requirements. Key Responsibilities: 1. Corporate Governance and Compliance: Ensure the company complies with the Companies Act, 2013, SEBI regulations, and other relevant laws. Maintain and update statutory registers and records. Organize, prepare, and distribute agendas for board meetings, committee meetings annual general meetings (AGMs), and extraordinary general meetings (EGMs) and prepare minutes thereof. Advise the Board on matters relating to corporate governance, legal compliance, and corporate strategy. 2. Regulatory Filings: Ensure timely filing of necessary documents with the Ministry of Corporate Affairs (MCA), SEBI, RBI (if applicable), and other regulatory bodies. Draft, review, and file necessary documents with the Registrar of Companies (RoC). File annual returns, financial statements, and other statutory filings as required. 3. Legal & Secretarial Support: Provide legal and secretarial support for the execution of contracts, agreements, and other corporate documentation. Draft, review, and maintain corporate policies, procedures, and resolutions. Handle all company-related legal correspondence and ensure compliance with corporate laws. Monitor and ensure timely renewal of company licenses, certifications, and registrations. 4. Board Support: Liaise with the Board of Directors, shareholders, and other stakeholders on governance matters. Prepare annual reports and manage shareholder communication. Advise the company on matters relating to mergers, acquisitions, and other corporate restructuring activities, if applicable. Coordinate with directors and management to ensure effective communication and decision-making. 5. Internal Control and Risk Management: Assist in the development and implementation of internal control frameworks.[C1] Monitor risks related to legal, regulatory, and governance matters. Ensure proper documentation and adherence to all corporate policies. 6. Shareholder Relations: Maintain records of shareholder transactions, ownership, and corporate resolutions. Oversee the process of issuance, transfer, and transmission of shares and debentures. 7. Other Duties: Maintain company's compliance with environmental, health, and safety regulations, where applicable.[C2] Coordinate with auditors, legal advisors, and other consultants as necessary. Assist in the development of the company's corporate strategy and business planning from a legal and governance perspective. Required Skills & Qualifications: Education: Associate/Fellow Member of the Institute of Company Secretaries of India (ICSI). Degree in Law or related fields will be an added advantage. Experience: Minimum 3 to 6 years of experience as a Company Secretary, preferably in a listed or unlisted company in the renewable energy or manufacturing sector. Hands-on experience in handling corporate governance, legal compliance, and regulatory filings. Strong knowledge of the Companies Act, SEBI regulations, and other corporate laws. Skills: Excellent written and verbal communication skills. Strong organizational and multitasking abilities. Good understanding of corporate governance frameworks. Proficient in MS Office. Personal Attributes: Attention to detail and high ethical standards. Proactive and able to work independently. Ability to maintain confidentiality and discretion. Strong interpersonal skills and ability to work with senior leadership. Why Indosol Solar: Innovative & Growing Industry: Work at the forefront of renewable energy solutions. Dynamic Environment: Be part of a fast-growing company with an impactful mission. Career Development: Opportunities for professional growth and continuous learning. Employee Benefits: Competitive salary, performance-based incentives, and comprehensive benefits package.

Job Summary: We are seeking a " Compliance Officer" particularly within the financial services of AIF & PMS sector. The candidate will be responsible for ensuring that all legal operations of the fund comply with regulatory requirements and internal policies. Key Responsibilities: Monitor and ensure compliance with SEBI regulations, RBI guidelines, and other applicable laws governing AIFs. Develop, implement, and update compliance policies and procedures to reflect regulatory changes and industry best practices. Conduct regular compliance risk assessments and internal audits to identify potential risks and recommend corrective actions. Design and deliver compliance training programs for staff to foster a culture of compliance within the organization. Prepare accurate and timely compliance reports for management and regulatory authorities, ensuring timely submission and accuracy. Act as the primary liaison with regulatory bodies and internal stakeholders on compliance matters, addressing inquiries and issues as they arise. Utilize technology and data analytics to enhance compliance monitoring processes and reporting accuracy. Qualifications: Masters degree in Business Administration, Finance, Law, or a related field, or a Company Secretary qualification. Minimum of 5 years of experience in a compliance role, preferably in the AIF & PMS. Strong knowledge of regulatory frameworks applicable to AIFs & PMS and related compliance requirements.

: Job Title: Company Secretary Location: Gurugram Industry: Housing Finance Experience Required: 8+ Years (Post Qualification) Team Management Experience: Required Key Responsibilities: 1. Statutory Compliance & Governance Ensure compliance with Companies Act, SEBI Regulations, RBI guidelines applicable to Housing Finance companies, and other statutory requirements. Conduct and manage Board Meetings, Annual General Meetings (AGMs), Extra-Ordinary General Meetings (EGMs), and Committee Meetings (Audit, CSR, NRC, etc.). Maintain statutory registers, records, and filings with ROC, MCA, and RBI. 2. Secretarial & Legal Documentation Draft notices, agendas, resolutions, and minutes for board and committee meetings. Prepare and file annual returns, director disclosures, and other regulatory filings. Ensure timely compliance and disclosures under applicable laws and regulations. 3. Corporate Governance & Advisory Advise the Board on best governance practices, regulatory changes, and strategic legal matters. Support the Board in ensuring good governance standards and adherence to policies. 4. Team Leadership & Coordination Lead and manage the secretarial team to ensure timely execution of deliverables. Guide and mentor junior team members in handling legal and secretarial responsibilities. Coordinate with internal departments and external stakeholders like auditors, lawyers, and regulators. 5. RBI & Housing Finance Regulatory Compliance Ensure compliance with RBI Master Directions and NHB guidelines specific to housing finance companies. Handle inspections, correspondence, and reporting requirements related to RBI/NHB. Desired Candidate Profile: Qualified Company Secretary (CS) from ICSI. Minimum 8 years of post-qualification experience in a financial services/NBFC/housing finance company. Prior experience in leading a team is mandatory. Strong knowledge of Company Law , RBI Regulations , SEBI guidelines , and Governance Practices . Excellent communication , drafting , and stakeholder management skills. Preferred Attributes: Exposure to housing finance/NBFC sector is highly preferred. Proficient with MCA21 , compliance tools , and legal documentation software . Ability to work under deadlines and in a fast-paced regulatory environment.

JOB TITLE Team Member - Secretarial DEPARTMENT : - Secretarial DESIGNATION:- Assistant Manager/Deputy Manager LOCATION :- Kalina(Mumbai) REPORTS TO Company Secretary II. KEY DUTIES & RESPONSIBILITIES OF THE ROLE Drafting and finalising of agenda, minutes and circular resolution of Board/Committee/General Meeting Maintaining Statutory Registers Filings with MCA/SEBI/RBI Monthly/quarterly/half yearly and annual Compliances under various acts/regulations applicable to the Bank Formulation/review/implementation of Policies/SOPs pertaining to Secretarial Department of the Bank Assisting Internal/ Statutory/ Secretarial auditor for completing their audit activities Providing data for RBI inspection Handling of Complaints/requests/queries received from PNCPS and Equity warrant holders. CSR Compliances Insider Trading Compliances I. ROLE PURPOSE & OBJECTIVE Ensuring compliance with the Companies Act, 2013, SEBI (Prohibition of Insider Trading) Regulation, 2015, RBI Regulations and circulars issued thereunder. III. MINIMUM REQUIREMENTS OF KNOWLEDGE & SKILLS Educational Qualifications Member of ICSI / Law Graduate Experience • 5-7Yrs Functional Skills • Well versed with Companies Act, 2013 and RBI Regulations Ability to interpret Regulations Remain updated with current scenario and regulations Interested candidate can also share their cv on ext.ambuja@unitybank.co.in

Job Description For: AVP-Compliance. Location: Gurgaon . CTC: As per the industry standard. Reporting Manager: Chief Compliance Officer. Required Details: Experience Required: 10-12 years. Proven experience in the Non-Banking Financial Company (NBFC) sector with a strong understanding of RBI regulations. Excellent organizational and communication skills. Ability to work independently and as part of a team. Strong analytical skills and attention to detail. Key Responsibilities: Ensuring various Compliances under the Master Direction of the Reserve Bank of India for NBFCs and amended Rules thereon. Dealing with various circulars as issued by the RBI, i.e., Scale Based Regulations, KYC, etc. Taking prior approval from the RBI for the appointment of Directors & other matters. Handling FCRA compliances for a subsidiary company. Handling the Select scope inspection from RBI and drafting of requisite replies for the inspection letter. Working Knowledge of Inspection of RBI. Preparation & filing of various monthly, quarterly, half-yearly & annually returns of RBI, i.e., Annual return on foreign liabilities and assets, ECB-2, DNBS01, DNBS03, DNBS4A and DNBS13, Statement of Change of Directors & Auditor Report, etc. Filing of Entity Master Data through Single Master Form (SMF-FIRMS) with the RBI. Assist / Manage board and committee meetings, ensuring timely completion of pre- and post-meeting compliance tasks. Provide guidance and support to junior team members in their compliance-related tasks and responsibilities. Preference for additional experience: Companies Act & SEBI Compliances Compliance of relevant provisions of the SEBI Listing Regulations, including LODR, Insider Trading, SAST, and ICDR. Ensuring various listing compliances of Equity & Debt i.e. monthly, quarterly, half-yearly, annually, event-based, etc. Compliance related to Listing of Non-Convertible Debentures (NCD).

Role : Company Secretary Location : Ahmedabad Experience : 1 to 3 Years Qualification : Qualified CS Job Description : The Company Secretary plays a crucial role in ensuring that the company operates within the legal and regulatory framework. They act as a key advisor to the board of directors on corporate governance, statutory compliance, and legal obligations. The role involves managing company records, organizing board and shareholder meetings, filing necessary regulatory documents, and ensuring adherence to internal policies and procedures.In addition, the Company Secretary is responsible for overseeing debt-related compliances, including monitoring loan covenants, coordinating with lenders, maintaining records of borrowings, and ensuring timely submissions to regulatory bodies and financial institutions. This position requires a strong understanding of corporate law, attention to detail, and excellent organizational and communication skills. Roles and Responsibilities of a Company Secretary: Ensure compliance with corporate laws, regulations, and statutory requirements. Maintain statutory registers such as the register of members, directors, and shareholdings. Organize and coordinate board meetings, annual general meetings (AGMs), and committee meetings. Prepare and circulate agendas, board papers, and minutes of meetings. File annual returns and other required forms with the Registrar of Companies or relevant authorities. Advise the board of directors on legal, regulatory, and governance matters. Liaise with regulatory bodies, government authorities, and external stakeholders. Manage share issuance, transfers, and related documentation. Ensure proper documentation and safekeeping of corporate records and legal documents. Draft and review company policies, resolutions, and compliance reports. Support the board in implementing good corporate governance practices. Assist in internal audits and compliance reviews. Handle confidential information with integrity and discretion. Monitor compliance with debt covenants, reporting requirements, and loan agreements. Coordinate with lenders, credit rating agencies, and legal counsel on debt-related matters. Maintain accurate records of borrowings, repayments, and securities offered. Ensure timely submission of compliance certificates and financial covenants to financial institutions and debenture trustees.

Job description This is Regarding Opening with a Leading Fund Management Company as a Compliance Manager !!! Experience: 3+ years Location - Mumbai - 5 Days (WHO) Responsibilities: Will be co-ordinating with the clients of the Company for SEBI AIF/ PMS compliances. To resolve the regulatory queries of the clients To co-ordinate during Inspection/ Audit Shall assist in various group level restructuring projects as may be initiated by Company from time to time. Ensure regulatory compliances for the Company for the current as well as future regulatory projects Qualified Company Secretary with degree in LLB/ Any professional qualification preferred Experience in activities in the securities market or financial products including in a portfolio manager, broker dealer, investment advisor, wealth manager, research analyst or fund management Candidates with exposure in AIF/ PMS compliance shall be preferred If this Job Opportunity excites you, Kindly mail your updated CV Asap on the mail ID: nidhi@thepremierconsultants.com. Thanks & Regards, Nidhi Shah

1.Qualification: Member of ICSI with valid Certificate of Practice (COP) Minimum of 2yrs of experience in handling IPOs or working in a similar role. Required Candidate profile ensuring compliance with SEBI regulations and statutory reqmnts necessary documentation with regulatory authorities for the IPO.Liaise with legal advisors, invtmt bankers, auditors

Role : Senior Associate Company Secretary Location : Guwahati, Assam Experience : 2 to 5 Years Qualification : Qualified CS Job Description : We are seeking a dedicated and detail-oriented Senior Associate – Company Secretary to join our Legal & Secretarial team. The candidate will be responsible for ensuring compliance with corporate laws and statutory requirements, managing board and shareholder meetings, and maintaining statutory records Key Responsibilities: Ensure timely compliance with Companies Act, SEBI regulations, FEMA, and other applicable corporate laws. Conduct and manage Board Meetings, Annual General Meetings, and Committee Meetings – preparation of agendas, notices, minutes, and follow-ups. Maintain statutory registers, records, and filings with ROC/MCA (e.g., MGT-7, AOC-4, DIR-3 KYC, etc.). Handle incorporation, alteration of capital, change in directorship, and other company law-related matters. Liaise with regulatory authorities such as the Ministry of Corporate Affairs, SEBI, RBI, and ROC. Assist in drafting resolutions, shareholder agreements, and compliance checklists. Provide support during audits (Statutory, Secretarial, Internal) and due diligence exercises. Stay up-to-date with changes in corporate laws and advise management accordingly. Coordinate with legal consultants and external counsels when required. Support group companies or subsidiaries on secretarial compliance. Key Skills and Competencies: Strong knowledge of Companies Act, SEBI LODR, FEMA, and related laws. Good drafting and communication skills. Attention to detail and ability to work independently. Proficiency in using MCA portal and compliance tools. Ability to manage multiple priorities and meet deadlines.

Job Summary: We are seeking a highly skilled and experienced GRC Professional with a strong background in the Broking industry regulated by SEBI. The ideal candidate will be responsible for ensuring regulatory compliance, managing risks, and establishing governance frameworks to safeguard the organization. Key Responsibilities: Governance: Develop and implement governance policies and frameworks in line with SEBI regulations and other regulatory requirements. Conduct internal audits and reviews to ensure adherence to compliance standards. Monitor changes in SEBI regulations and provide strategic guidance to stakeholders. Maintain and enhance the corporate governance framework, policies, and procedures. Risk Management: Develop risk management frameworks and conduct periodic risk assessments. Implement controls to mitigate Cyber Security risks. Ensure robust Business Continuity Planning (BCP) and Incident Management strategies. Compliance: Ensure adherence to SEBI, NSE, BSE, and other regulatory bodies' compliance requirements. Handle regulatory inspections, audits, and compliance reporting. Liaise with regulatory authorities and respond to compliance-related queries. Internal Controls & Reporting: Design and implement internal controls to strengthen compliance frameworks. Conduct periodic training and awareness programs on regulatory changes. Prepare risk and compliance reports for senior management and regulatory bodies. Ensure timely submission of regulatory filings and disclosures. Qualifications & Skills: Bachelors/Master’s degree in Technology, Risk Management, or a related field. Any professional certifications such as CRISC, CIPP, CGRC, CISA, ISO ISMS will be an advantage. Minimum 5 years of experience in GRC roles within a SEBI-regulated broking firm. In-depth knowledge of SEBI, NSE, BSE, and other regulatory frameworks.

DEPUTY MANAGER [ACCOUNTS & FINANCE]- 1. Responsible for accounts, audit, GST issues, budget, MIS functions. 2.Maintenance of systems and procedures. 3.Exposure in SAP/FICO is a must. 4.Providing functional guidance to accountants / other operational heads 5.Carrying out special studies aimed at reducing costs, improving efficiency and profitability. 6.The incumbent is expected to keep abreast of significant developments and practices in the fields relating to his/ her responsibilities, viz. accounting, audit, finance and taxes. 7.The incumbent will be required to provide expert advice / assistance to personnel at all levels of the organisation, if such need arises. 8.Ensure correct and on time availability of all financial information required to be submitted to the Government, Parliament and committees of parliament covering accounts, finance, tax budget, plan /non plan expenditure etc. 9.Maintaining accurate financial records based on established norms and statutes. 10.Debtors review and monitoring and Working Capital management. 11.Leading and motivating a team and getting the best out of them. 12.In relation to his/ her task, the incumbent is expected to ensure adherence / compliance to various extant policies / rules and the DOA. 13.Responsible for championing core values of the company, Viz. maintaining high standards of transparency, championing the c a use of customer /client among others. 14.Finalization of the annual budget of the department Finalization of accounts of the department as per schedule. 15.Summarise and finalize the annual write off / write back and provision proposals of the company as a whole for putting up to the Board including reconciliation of the same with the final accounts. 16.Preparation of monthly vigilance report for the company as a whole. 17.Preparation of report required as per SEBI LODR guidelines for the company as a whole. 18.Review of creditors and advances of department. 19.Ensure compliance and adherence to internal financial control (IFCR) over financial reporting. Note: The above list is indicative only. CRITERIA- 1.Age - 32 as on 10.07.2025 2.Education - CA/ICWA 3.Experience - 5 years of post qualification experience is required. For more details and also to apply please visit our Company Website - https://www.balmerlawrie.com/careers/current-openings NOTE - Application Form is available on our website.

Role & responsib Job Title: Sr. Manager GRC (Governance, Risk, and Compliance) Experience: 5+ Years Industry: SEBI Broking Industry Location: Pune Job Summary: We are seeking a highly skilled and experienced GRC Professional with a strong background in the Broking industry regulated by SEBI. The ideal candidate will be responsible for ensuring regulatory compliance, managing risks, and establishing governance frameworks to safeguard the organization. Key Responsibilities: Governance: Develop and implement governance policies and frameworks in line with SEBI regulations and other regulatory requirements. Conduct internal audits and reviews to ensure adherence to compliance standards. Monitor changes in SEBI regulations and provide strategic guidance to stakeholders. Maintain and enhance the corporate governance framework, policies, and procedures. Risk Management: Develop risk management frameworks and conduct periodic risk assessments. Implement controls to mitigate Cyber Security risks. Ensure robust Business Continuity Planning (BCP) and Incident Management strategies. Compliance: Ensure adherence to SEBI, NSE, BSE, and other regulatory bodies' compliance requirements. Handle regulatory inspections, audits, and compliance reporting. Liaise with regulatory authorities and respond to compliance-related queries. Internal Controls & Reporting: Design and implement internal controls to strengthen compliance frameworks. Conduct periodic training and awareness programs on regulatory changes. Prepare risk and compliance reports for senior management and regulatory bodies. Ensure timely submission of regulatory filings and disclosures. Qualifications & Skills: Bachelors/Master’s degree in Technology, Risk Management, or a related field. Any professional certifications such as CRISC, CIPP, CGRC, CISA, ISO ISMS will be an advantage. Minimum 5 years of experience in GRC roles within a SEBI-regulated broking firm. In-depth knowledge of SEBI, NSE, BSE, and other regulatory frameworks.

1. Organizing effective Board Meetings, its Committees, General Meeting of shareholders in coordination with CS leadership and Senior Management Personnel 2. Issue of securities, particularly NCDs on Private Placement basis. Compliances pertaining to GDRs 3. Compliances of LODR and other Regulations applicable to a listed Company 4. Drafting, discussing, finalizing and circulating of agendas of meetings, minutes, notices, outcomes, press notes etc. in consultation with Senior Management and other stakeholders 5. Management of key corporate actions like issue, listing of shares, merger, amalgamation, demerger etc. 6. Liasioning with Registrar & Transfer Agents (not day to day activities) 7. Initiating, drafting, compiling, discussing, settling, finalizing the Annual Report in coordination with Senior Management. 8. Managing filing of various e-forms based on the event based and periodic events as per the Companies Act, 2013 with Ministry of Corporate Affairs 9. Initiating, drafting, discussing, settling, finalizing the charter of Committees, Policy Statement, Policy Documents etc. in consultation with Senior Management and obtaining the approval of Board of Directors 10. Initiating, Drafting, finalizing, and filing of various applications to SEBI for various purposes like obtaining, renewal of certificate of registration as Portfolio Managers under SEBI Regulations, 1993 11. Drafting reply to legal notices pertaining to shareholders. 12. Ascertaining the compliance of statutory audit and limited review requirements 13. Ensuing 100% compliance with the applicable corporate & securities laws and review of documents/ disclosures/ intimations to be submitted with stock exchanges, MCA and SEBI. 14. Development of SOPs and processes and support in automation exercise. Interested candidates can forward their resumes on dhawal.patel@ril.com

Experience : 3+ years in Investment Banking (deal origination / capital markets), or Generalist roles About the Role Adfactors PR is seeking dynamic professionals passionate about capital markets, or seasoned generalists with a knack for problem-solving and multi-disciplinary execution. This role combines the depth of expertise in capital markets with the versatility of working on diverse projects, much like a generalist in a CEO's office. The ideal candidate will bring a mix of strategic thinking, business acumen, and execution prowess to drive communication strategies across the capital market lifecycle and beyond. We are looking for individuals with: Deep Expertise in Capital Markets & Communications: Familiarity with capital markets, financial storytelling, or investment banking (specifically, deal origination) Knowledge of IPO processes, relevant SEBI regulations, and market trends would be a huge plus Experience in investor relations, corporate communications, or public relations Exceptional Analytical & Storytelling Skills: Proficiency in financial analysis Ability to distil business stories into compelling narratives and / or documents Proactive and Multi-Disciplinary Approach: A self-motivated mindset and an entrepreneurial spirit, thriving in ambiguous, start-up-like environments Willingness to take on diverse responsibilities and manage multiple projects Preferred Qualifications: (Engineer / CA) + (CFA / MBA Finance) Key Responsibilities Initially, your work profile will include: Research: Conduct in-depth research on capital markets, business, finance, and economics. Advisory: Create compelling advisory / consultation documents for clients, or for internal corporate development Execution: Develop action plans and execution roadmaps, ensuring strategies are taken to completion. As you grow in the role, your client-facing responsibilities may expand to include: Advising clients on complex scenarios like M&A, boardroom disputes, regulatory challenges, and crisis management Supporting leadership teams with media training, positioning strategies, and thought leadership content. Managing IPO communications, media relations, and investor engagement strategies.

Review corporate actions accounting, redemption ,Business MIS Review of fees including Setup fees, Management fees, Custody, Performance fees, Brokerage, Distributor revenue and other Prepare monthly and quarterly compliance reports as per SEBI Required Candidate profile Immediate Joiners preferred. MBA (finance) , Semi qualified CA preferred

Role Overview: We are seeking a qualified Company Secretary with hands-on corporate legal experience to manage the legal and secretarial compliance for the Indian group of entities. The role requires a proactive professional with strong knowledge of Indian corporate laws, regulatory filings, board procedures, and legal documentation. Key Responsibilities: Company Secretarial: - Ensure compliance with Companies Act, FEMA, RBI, SEBI regulations (as applicable) - Organize and manage Board and Shareholders meetings drafting notices, agendas, minutes - Maintain statutory registers and records - Handle annual filings with MCA and other regulatory authorities - Coordinate with auditors, consultants, and group legal/compliance teams Legal: - Draft, review commercial contracts, NDAs, vendor agreements, etc. - Support in legal documentation and due diligence for new projects or partnerships - Manage compliance with applicable laws and regulations - Liaise with internal & external legal counsel on matters involving litigation or advisory. - Provide legal risk assessments to internal stakeholders - Work with Legal heal in any other matters as deemed necessary Candidate Profile: - Qualified Company Secretary (CS); Law degree (LLB) preferred - Minimum 3-4 years of post-qualification experience in legal and secretarial functions in reputed companies - Strong understanding of corporate law, commercial contracts, and regulatory frameworks - Excellent drafting, communication, and stakeholder management skills - Ability to work independently and coordinate with cross-border teams

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 in handling compliance activities for Share Broking Companies Excellent written and oral communication skills with attention to details Proficient at using MS Excel and MS word Qualification: CS Type of Job: Full Time Industry: Stock Broking

Role & responsibilities Preparation of documentation for Foreign Portfolio Investors (FPI) clients & Foreign Direct Investor clients (FDI). Processing of Onboarding documents of FPIs & FDI. Explaining & Educating prospective FPI clients about various regulatory requirements Processing of modification requests of existing FPI & FDI accounts Reviewing client structures and activities to ensure regulatory compliance from all aspects Direct Interaction with clients and business teams for query resolution on documentation Interaction with internal operations team to ensure timely account opening Handling audit & regulatory queries end to end Preferred candidate profile Knowledge of SEBI / RBI KYC guidelines, SEBI (FPI) Regulations & Operational Guidelines and Custody Business Proficiency in documentation review Good Communication & Presentation Skills Good relationship with regulatory officials from SEBI / NSDL handling the FPI / custody related activities

Manage end-to-end Board meeting processes including agenda preparation, minutes documentation, and compliance with Companies Act 2013, SEBI LODR, SEBI D&P Regulations, and Secretarial Standards Required Candidate profile Handle comprehensive AGM compliances including Stock Exchange intimations, shareholder communications, and coordination with RTA and e-voting agencies Strong knowledge of corporate governance Perks and benefits Free Meals, Transport, Gym, Game Room, Free Snacks

Summary Aliens Developers Pvt Ltd is debt-listed on the Bombay Stock Exchange. We are looking for a skillful and enthusiastic Company Secretary to be a part of our Legal, Finance and Accounts team with at least of 4-5 years of post qualification experience in similar profile across industry. The incumbent will be the sole owner of ensuring compliance under the Companies Act 2013 and the applicable SEBI Regulations as amended from time to time and other acts in respect of company and its group companies. Location: Aliens Space Station, Tellapur , Hyderabad Mode: On Site | Work from Office Work timings: Mon-Sat 11-8PM Website: https://www.aliensgroup.in/ Role & responsibilities Performing duties as a Compliance Officer and Company Secretary in terms of the Listing Regulations and other applicable SEBI Laws, Companies Act and shall ensure compliance of SEBI Laws and Depositories Act as applicable To ensure timely compliance of all the quarterly, half yearly, annual and event based compliances applicable to a debt listed Company under SEBI (LODR) Regulations, SEBI (PIT) Regulations and all other applicable SEBI Regulations To co-ordinate, correspond and liaison with BSE, NSDL, CDSL, Debenture trustees, lawyers, consultants and all such parties on behalf of the Company Advising the board and management committees on all statutory and constitutional requirements to ensure that business is conducted in a proper and effective manner Involved in Public Issue, Listing and Securities Management depending on Company Strategy Prepare and maintain minutes, statutory books including registers of members, directors and secretaries; and filing of return with Registrar of Companies, Regional Director, NCLT, Stock Exchanges and Government in respect of company and its group companies Preparation and filing of all necessary forms, returns with MCA/RoC as applicable under the Companies Act Prepare necessary applications for allotment of land from state government authorities etc. and coordinate all related matters Applying due diligence to ensure compliance of all ROC/ statutory issues Advising the company on arbitration, negotiation and conciliation in commercial disputes between various parties Such other responsibilities as may be given by the Management Preferred candidate profile Company secretary with 4+ years of relevant post qualification experience 4+ yrs of experience with excellent knowledge of Statutory, Regulatory, and Secretarial matters and documentation required under Company Law in a multi entity group with a widely held shareholding Should also have experience of handling compliances of a Debt Listed/Listed Company and experience in issuance of Securities through NCDs/IPO/QIP/IPP/Rights issue Exposure in Financial planning and reporting, General company compliance, LLP Compliance, ROC submissions, Entity conversions, company incorporations, RBI compliance, FDI Compliance

We have an opportunity in a Consulting role with a Fintech Company. Location - BKC, Mumbai (work from office only) Qualification - Company Secretary. Experience - 6+ years post-qualification. Candidate should have experience of working on SEBI Regulations like LODR, ICDR and SBEB & SE Regulations Companies Act and Rules relating to issue of capital, board, and general meetings. Desirable but not mandatory: Accounting principles and Taxation aspects around Equity-based compensation Highly desirable but not mandatory: Efficient in drafting legal documentations, letters, agreements, etc. Understand how different market participants operate like stock exchange, proxy firms and investors. Efficient in working on Power point, Excel and Word (in same order of importance). Extremely good communication as most of the interaction happens with top management, promoters, NRC, and Board. The profile is purely client facing where you will co-ordinate and work with different stakeholders like HR, Finance, Legal heads and top management. Role: Conceptualizing solutions around designing of Equity based compensation plans (ESOPs, SARs, Phantom options, Restricted Stock etc.) mainly from Corporate Laws and SEBI perspective. Advising companies on Equity compensation Plans emphasizing on skillful drafting, compliance and disclosure from SEBI/ Corporate laws perspective. Giving opinions on legal, accounting and tax related aspects of Equity compensation. Meeting, discussion and presentations to the client as required.

There is a requirement of a Consultant with a Fintech Company. Role is more on the Advisory and client engagement side. Locations - Gurugram/Mumbai/Pune/Bengaluru. Looking for CAs with minimum 2 to 3 years of experience in a Consulting role from Big 4 or relevant firms. The candidate must have experience in a client facing role and should not be from a back end process background. Preferred experience in Audit, Due Diligence, Compliance, Advisory, Corporate Governance profiles. Knowledge in SEBI LODR related compliance is an added advantage.