573 Sebi Regulations Jobs - Page 8

Role Overview: As a Senior Corporate Lawyer in our General Corporate practice in Mumbai, you will be a key player in managing high-value domestic and cross-border transactions across various sectors, focusing on technology, media & entertainment, consumer, and financial services. Your expertise in Mergers & Acquisitions (M&A), Private Equity (PE), Venture Capital (VC), joint ventures, corporate structuring, and strategic advisory will be crucial for the team's success. Key Responsibilities: - Lead and execute end-to-end M&A, PE/VC, and joint venture transactions, including Share Purchase Agreements (SPA), Shareholders Agreements (SHA), Investment Agreements, Business Transfer Agreements, and...

About Mentor Wealth: With over 25 years of trust , Mentor Wealth is a leading mutual fund advisor committed to helping families and professionals build long-term financial security. As we enter an ambitious growth phase, we are scaling our Assets Under Management (AUM) and seeking high-performing professionals to join our journey. About the Role: The Relationship Manager (Mutual Funds) is the face of Mentor Wealth responsible for acquiring, managing, and retaining client relationships . This role demands a balance of strong client advisory skills and an aggressive growth mindset to consistently deliver on AUM expansion goals . Key Responsibilities: ?Acquire new clients and aggressively drive...

Role & responsibilities Key Responsibilities: Ensure the company complies with all SEBI, NSE, BSE, CDSL, NSDL, and other regulatory guidelines applicable to stock broking activities. Monitor day-to-day compliance of trading, depository, and back-office operations. Prepare, review, and submit periodic reports/returns to SEBI, Exchanges, Depositories, and other regulatory authorities within timelines. Draft and update internal compliance policies, manuals, and procedures in line with regulatory requirements. Conduct regular compliance audits, inspections, and internal checks across branches and departments. Ensure client KYC, PMLA (Prevention of Money Laundering Act), and other statutory compl...

Company Secretarial Functions Compliance & Governance Advisory Role Statutory registers, records, & filings with MCA, ROC, SEBI, and stock exchanges Liaise with regulators, auditors, lawyers, & external stakeholders Develop compliance policies & SOPs Perks and benefits Mediclaim self (2 L) Accident insurance

Role & responsibilities Intimation of Board Meeting, Annual General Meeting to Bombay Stock Exchange Quarterly, Half Yearly and Annual Compliances of SEBI (LODR) Regulations Holding Board Meetings as per SEBI (LODR) Regulations, Companies Act, 2013 and Secretarial Standards. All listed Compliance. Annual filing in e-forms (AOC-4, AOC-4 XBRL, AOC-4 CFS, MGT-7, Form 11 and Form 8) Change in the name of a Private Limited Company Alteration of Memorandum of Association and Articles of Association. Striking off of a Private Limited Company Register of Companies Subdivision of Equity Shares Quarterly, Half-yearly and Annual compliances as per Listing Obligation and Disclosure Requirements, 2015 An...

Manager (Background : Investment Banking Advisory) Adfactors PR | Lower Parel, Kamala Mills, Mumbai Experience Required: 3 - 7 years Education: B.Tech/B.E./CA + MBA Finance / CFA preferred Employment Type: Full-time, Permanent About the Role Adfactors PR, Indias largest independent communications firm, is seeking high-performing professionals with a strong foundation in Investment Banking, Capital Markets, or Financial Advisory to join our specialised Capital Markets & Financial Communications practice. This role is designed for individuals who combine financial acumen with storytelling skills and the ability to advise CXOs and Boards in high-stakes scenarios. You will work at the intersecti...

As a Senior Executive Manager at mNivesh, you will play a crucial role in driving sales and distribution of mutual fund and general insurance products. Your responsibilities will include acquiring, managing, and growing retail and corporate client relationships, providing tailored investment and insurance advisory, conducting client meetings and portfolio reviews, achieving business targets, and staying updated with SEBI/IRDA regulations and market trends. Collaboration with internal teams for smooth onboarding and service delivery is essential. Key Responsibilities: - Drive sales and distribution of mutual fund and general insurance products. - Acquire, manage, and grow retail and corporate...

Job Title: Compliance Officer Location: Ahmedabad Employment Type: Full-Time Company : Lakshya Asset MAnagement Pvt Ltd. 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 ...

Key Responsibilities: Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons / Affiliates/ Referral Partners including meeting them physically if required. Conduct regular compliance audits and assessments to identify potential risks and areas for improvement for Authorised Persons/Affiliates/ Referral Partners. Prepare and submit regulatory filings, reports, and documentation as required by SEBI. Responsible for conducting regular training to the Business development team and Authorised Persons on compliance-related matters and promoting a culture of compliance within the organization. Collaborate with internal teams to gather necessary information for comp...

Position: CA/CS Location: Daryaganj Working Days: Monday to Saturday Timings: 9 AM to 6 PM Salary: 12 LPA Roles & Responsibilities: Handling with statutory, internal and tax auditors as per regulatory requirements. Ensure compliance with Stock Exchange regulations and related guidelines. Manage GST, Income Tax, Labour Law, SEBI regulations, and other statutory laws . Draft and review various professional correspondences, notices, and representations. Handle accounting, finance, and compliance-related matters for stock broking activities . Manage stock exchange-related tasks including margin requirements, clearing exposure, and settlement processes with hands-on experience. Banking credit fac...

Role & responsibilities Ensure compliance under Companies Act, 2013 board/committee meetings, filings, registers, corporate governance. Handle FEMA & RBI compliances FDI, ODI, ECB, FC-GPR/FC-TRS, FLA, and related filings. Manage FCRA compliance foreign contributions, reporting, and disclosures. Oversee SEBI & IPO matters – LODR, PIT, listing compliances, disclosures, IPO documentation, coordination with SEBI/Stock Exchanges. Liaise with regulators – MCA, SEBI, RBI, MHA, Stock Exchanges, Depositories. Conduct compliance audits, due diligence, and risk management . Advise on corporate restructuring, fundraising, M&A, JV, foreign collaborations . Supervise junior staff and ensure smooth coordin...

Hi, Greetings from SketchHR Manpower Solutions! We are excited to share some excellent career opportunities with one of our esteemed clients, a leading stock broking firm, currently looking to strengthen their Legal & Compliance team. Please find the details below: Legal & Compliance Roles - Capital Markets Location: Santacruz, Mumbai (multiple vacancies) | Chennai (2 vacancy) Open Roles: Senior Surveillance Lead (6+ years) Compliance Manager (2+ years) Surveillance Officer (3+ years) About the Company Join a reputed trading and investment firm with a strong foothold in capital markets. We are driven by innovation, growth, and client trustwhile prioritizing the highest ethical standards and ...

Qualification:Member of ICSI with a valid Certificate of Practice (COP), or CS with B.Com and LLB, with minimum 3 years of relevant experience. Employment Type:Permanent 6 months probation Work Mode:Office-based Required Candidate profile RoleManage statutory compliances for company n group entities- LLPs.Monitor and review regulatory amendments, circulars from MCA,SEBI,Stock Exchanges.Keep the team informed of all relevant updates

Role & responsibilities Projects in IT Advisory focus on the assessment and/or evaluation of IT systems and the mitigation of IT-related business risks. They are either System audit, IT reviews, Technology Risk Assessments & Gap Assessments inline with circulars issued by SEBI/RBI/IRDAI. Technical Strong experience in review of guideline defined, conducting regulatory assessments for BFSI (E.g. RBI, SEBI, IRDAI). Global guidelines knowledge which includes NIST, ISO27001, PCI-DSS, COBIT, etc. Assisting in remediating gaps on the defined guidelines for the client. Performing System Audit and conducting technology landscape review. Having worked on Information Technology Risk Assessment areas s...

Key Responsibilities: Assist in the onboarding, documentation, monitoring, surveillance for Authorised Persons / Affiliates/ Referral Partners including meeting them physically if required. Conduct regular compliance audits and assessments to identify potential risks and areas for improvement for Authorised Persons/Affiliates/ Referral Partners. Prepare and submit regulatory filings, reports, and documentation as required by SEBI. Responsible for conducting regular training to the Business development team and Authorised Persons on compliance-related matters and promoting a culture of compliance within the organization. Collaborate with internal teams to gather necessary information for comp...

5+ Years Hyderabad Company Secretary (CS) Department: Secretarial Skills Required: Qualified Company Secretary (CS) with at least 5 years of post-qualification experience. Additional qualifications such as LLB will be an added advantage. Job Summary We are seeking a highly skilled and experienced Company Secretary (CS) with a minimum of 5 years of post-qualification experience. The ideal candidate will play a critical role in ensuring compliance with corporate laws, regulations, Ethics Compliance and Governance requirements. This role involves reviewing and performing various secretarial compliances and supporting the legal and regulatory functions of the company. Key Responsibilities Secret...

You will be responsible for overseeing operational processes, ensuring the smooth functioning of transactions, compliance with regulatory requirements, efficient client servicing, and coordination with various internal and external stakeholders. This role demands strong organizational skills, attention to detail, and a deep understanding of mutual fund operations. Key Responsibilities Oversee daily mutual fund operations and ensure timely processing of transactions. Monitor compliance with regulatory requirements and company policies. Identify and implement process improvements to enhance operational efficiency. Stay updated on industry regulations (such as SEC rules) and ensure mutual fund ...

Roles and Responsibilities : Legal & Regulatory Compliance: Ensure the company complies with legal requirements and timely filings with regulatory bodies like the Registrar of Companies (MCA), SEBI BSE (mandatory) , and other applicable authorities. Statutory Records & Filings: Maintain and update statutory books and records, draft resolutions. Corporate Governance: Advise the board on corporate governance best practices and ensure policies are kept up-to-date and approved. Documentation & Agreements: Assist in drafting and reviewing legal documents and agreements, and manage correspondence related to company matters. Stakeholder Coordination: Coordinate with internal and external stakeholde...

Audit Areas: Internal Audit Statutory Audit Management Audit Risk Assessment and review of Internal Controls Stock Audit Government Audit Pre-Audit Management Consultancy Bank Audit Preferences: Qualified Chartered Accountants with experience of either Statutory Audit or Internal Audit will be preferred. Knowledge of SEBI Regulations, Company Laws and allied laws will be considered as an asset. Experience of listed company audit will be considered as an asset.

Role: Company Secretary Exp: 8-15 Years Location: Delhi Role Objective: We are looking for a Qualified Company Secretary (CS) with minimum 8+ years of post-qualification experience , specifically in handling Initial Public Offering (IPO) and SEBI/ROC compliance matters . The ideal candidate will work closely with senior management and merchant bankers to manage end-to-end IPO preparation and execution, along with ongoing secretarial and corporate governance responsibilities. Key Job Role and Responsibilities: 1. Managing secretarial compliances under Companies Act, 2013 and secretarial standards such as drafting and filing of forms, returns with the Registrar of Companies, drafting of board ...

We are hiring for one of our Aerospace manufacturing client. Position- Head -Lead and Compliance Location- Devanahalli Experience 12+yrs (Manufacturing industry) Work Mode- WFO Key Responsibilities: Legal & Regulatory Compliance - Ensure full compliance with applicable laws including Companies Act, SEBI LODR Regulations, Insider Trading Regulations, and other SEBI guidelines. - Liaise with regulatory bodies such as SEBI, NSE, BSE, ROC, and MCA for timely filings and disclosures. - Oversee statutory compliance across business operations, including aerospace-specific regulations. Corporate Governance - Advise the Board and senior management on legal and regulatory matters. - Draft and review b...

Role Overview: You are being sought after as a seasoned professional to take charge and enhance the Investor Relations function for a large, listed conglomerate with diversified business interests. Your role will involve facilitating transparent communication between the company, its investors, analysts, and other external stakeholders. You will work closely with internal leadership teams to ensure alignment on financial and strategic messaging. Key Responsibilities: - Develop, implement, and manage a robust Investor Relations strategy to improve engagement with investors, analysts, and rating agencies. - Serve as the primary point of contact for existing and potential investors, addressing ...

Job Designation: Company Secretary Location: Malad west Working Day: Monday - Saturday Experience: Minimum of 2 years of experience as a Company Secretary in a listed company Qualification : Company Secretary Time : 10:00 AM - 6:30 PM Salary : 8 LPA - 9 LPA Key Responsibilities: Corporate Governance & Compliance: Ensure compliance with SEBI regulations, Companies Act, Stock Exchange listing regulations, and other relevant laws. Advise the Board of Directors on corporate governance practices, ensuring alignment with best practices and regulatory standards. Organize and facilitate Board meetings, AGMs, EGMs, and ensure timely submission of agendas, notices, and minutes. Oversee compliance with...

Compliance with SEBI regulations, stock exchange rules Internal Audits & Inspections Reporting & Filings Policy development & implementation Grievance Redressal Training & Awareness Surveillance & Monitoring Coordinate with regulators(NSE,BSE,SEBI)

Role: Chief Financial Officer Exp: 20-30 Years Location: Delhi Industry: Construction and Infrastructure Role Objective: The ideal resource will bring a proven track record in managing large-scale Financial Operations, Securing Funding for Growth, and leading the process of Entering in Capital Market through IPO initiatives . Define and drive the Financial Strategy of the company . Ensure Stature and Regulatory Compliance, Governance, and Financial Reporting Standards to meet regulatory expectations. Key Requisites and Essentials: Banking Relationships: Strong network of senior-level Connect in both Private an Public Sector Bankers and PE Firms. proven ability to leverage these relationships...