675 Stock Exchange Jobs - Page 6

Role & responsibilities Ensure compliance with all Stock Exchange/regulatory requirements Interpret, advise on and ensure compliance with the principles of the Corporate Governance Code. Stay abreast of future changes in the Code and advise on the impact of these To prepare agendas and papers for board meetings, committees and annual general meetings (AGMs) and General Meetings, take minutes and follow up on action points Maintain statutory books, including registers of members, directors and secretaries Monitor changes in relevant legislation and the regulatory environment Liaise with external regulators and advisers, such as lawyers and auditors Develop and oversee the systems that ensure ...

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...

Responsible for monitoring trading activities, managing client risk, and ensuring compliance with exchange and SEBI rules. Helps prevent financial losses by controlling exposure, margins, and positions. Key Responsibilities: Monitor real-time trades and client positions. Set and manage exposure and margin limits. Square off risky positions if needed. Ensure compliance with SEBI and exchange risk rules. Handle margin shortfalls and fund requirements. Work with trading software (ODIN, NEST, etc.). Coordinate with dealers, clients, and support teams. Requirements: Graduate in Finance, Commerce, or related field. 03 years of experience in RMS or broking operations. Good knowledge of equity, F&O,...

1) Assist Company Secretary in ensuring compliance with the provisions of applicable Corporate Laws and SEBI Regulations and in review / preparation of Company's Codes and Policies as per Act. 2) Filing of forms / returns/ information with ROC Required Candidate profile Candidate should must have minimum 5 years experience in any listed company.

Job Description : Roles & Responsibilities 1) Business Development: Identify and pursue new business opportunities to expand the customer base Develop and implement strategic sales plans to achieve revenue targets. 2) Sales Strategy: a) Develop and implement effective sales strategies to achieve revenue goals as set by the management. b) Analyze market trends and competitor activities to identify ... Sales Manager Ahmedabad Ahmedabad - Apply JobItUs ATS Sales Manager - Ahmedabad Job Description: Job Description : Roles & Responsibilities Identify and pursue new business opportunities to expand the customer base Develop and implement strategic sales plans to achieve revenue targets. a) Develo...

Designation : Manual Testing Experience : 5+ yrs (Don't apply if u have less than 5 years experience) Location : Mumbai (Dadar)/ Bangalore Notice Period : Immediate – 1 week only Required Candidate profile Skills : Manual Testing, Mobile Testing, iOS & android, Domain: Capital Market /Trading/ Investment Banking/ Stocks Market/ Domain (Mandatory)

1. Depository Backoffice UAT 2. Demat & Remat Request Process/ Execution of Physical DIS received from Client 3. Authorisation offmarket & buy back and variour transaction request 4. Pledge, Unpledge, Invocation Intruciton Process & File upload 5. Processing the EDIS & Cusa file from Settlement Team 6. Process & maintain records of offmarket & Buyback request received through easiest 7.Various batch export from DP Back office and upload on CDAS 8.Physical DIS scanning and upload in CDSL system 9. Checking of Daily DIS DPU4 report for DIS pending to upload on daily basis 10. Monthly One Transaction file upload in Easeist as per audit requirement 11.Physical Documents indexing and Storage 12.A...

Ensure that company is fully compliant at all times on secretarial matters Filing and reporting of information SEBI, stock exchange, ROC, MCA, RBI, Conduct board meetings and committees, Independent Director meetings and shareholders meetings. Perks and benefits ESOPs

- Daily review entries by the Purchase Desk and decide on Sell / Hold / Rebalance strategy - Analyze market trends, sector rotations & macroeconomic factors influencing current holdings - Identify wrongly bought stocks & suggest corrective actions Required Candidate profile - 4+ years of active stock market experience (trading, broking, fund desk, or research). - Deep understanding of Indian equities across sectors. - Strong with both technical & fundamental analysis.

Description External Job Description Processing of request wrt dematerialisation and transmission of securities received from shareholders of the CompanyWeekly visits to Registrar and Share Transfer Agent for inspection / reviewing / monitoring correspondence received from shareholders of the CompanyMonitoring and redressal of the complaints received from various regulatory authorities portal viz SEBI SCORES, Smart ODR, and website of stock exchangesChecking and processing of various investor service requests of shareholders of the CompanyPreparation and filing of various stock exchange compliances viz reporting of investor complaints, shareholding pattern, reconciliation of share capital au...

Conduct inspection on members site as per the inspection calendar for the quarter following a pre-approved checklist. Draft the inspection report for the member. Expand the scope of inspection beyond the pre-approved checklist after consulting manager. Prepare the preliminary observation sheet for the inspection and schedule the closure meeting between the member and manager Prepare the inspection report Escalate matters like non co-operation of member/delay in furnishing data to the respective Manager Conduct onsite inspection for vault & warehouse of commodities for the storage facilities and the goods stored therein. Collate data to cater to the request raised by external regulators like ...

Were looking for a Talent Acquisition Associate for our Hyderabad operations, to support the recruitment efforts for our operations center. This is an exciting opportunity to be part of and develop your career in a dynamic and highly service-oriented organization! In this position, you will play a key role in supporting the recruitment process and will as act as an ambassador for Experian, by ensuring a positive candidate experience for individuals exploring employment opportunities within our organization. What youll do: Closely partner with Talent Acquisition Partners to provide an outstanding candidate and Hiring Manager experience Help develop teams best practices and associated SOPs Rev...

Companies Act, 2013 Compliance: Ensure timely filings and maintenance of statutory registers and records. Organize Board and General Meetings and draft resolutions and minutes. Handle annual compliances including AOC-4, MGT-7, DIR-3 KYC, etc. Monitor compliance related to Directors, Auditors, and CSR obligations. Listing Compliances: Ensure compliance with SEBI (LODR) Regulations. Coordinate with stock exchanges (NSE/BSE) for disclosures and filings. Maintain updated records for shareholding patterns, investor grievances, etc. SEBI & Stock Exchange Compliances: Handle regulatory filings under SEBI PIT, SAST, and ICDR regulations. Monitor insider trading compliances and maintain Structured Di...

1 Preparation of notices for meetings, Agendas, minutes &resolutions for General and Board Meetings 2 Should be working with listed company 3 have good understanding of all SEBI compliance 4 Have knowledge of listing agreement and other formalities

Responsibilities: Regulatory Filings & Compliance: Prepare and file documents, forms, returns, and applications with regulatory authorities such as the Registrar of Companies (RoC), Stamp Authority, Depository (NSDL), CDSL, RTA and RBI. Ensure compliance with listed company requirements, including stock exchange regulations and SEBI Act. Meeting Management: Prepare and circulate papers for board, committee, and shareholders' meetings, including notices, agendas, and draft resolutions. Conduct board and committee meetings, as well as shareholders' meetings, and facilitate postal ballot processes. Records Management: Maintain statutory books and registers, including minutes books, charges, mem...

1. Maintain relationship banks and generate leads to open 3 in 1 demat accounts. 2. Manage people and follow up on leads generated to open accounts. No Third Party Targets No Insurance TARGETS LOCATION: Mangalore & South Goa Required Candidate profile Ready to travel across Mangalore,Udupi,Chickmangaluru,Hassan,Shivmoga & Goa on Company expenses to meet branch and generate leads.

A leading Legal Tech Co in Kolkata looking for Compliance Professional who is Company Secretary Key Responsibilities: 1. Regulatory Compliance 2. Risk Mitigation 3. Product Expertise 4. Process Improvement 5. Regulatory Knowledge 6. Client Guidance Required Candidate profile Qualified Company Secretary (CS) with 4-6 years of hands-on experience handling secretarial matters for listed companies, with a strong preference for those with experience in the listing process

- OVERALL, JOB RESPONSIBILITIES Good Knowledge of ODIN/GREEK/NEAT Admin functionality. Executing the process of BOD &EOD and limit setting and holding uploading as well as other RMS Processes with the ability to adapt to improving technology. Cross checking BOD for all segments before Market Start. Making Activation and Deactivation of Trading Terminals. Ability to resolve queries on a day-to-day basis. Keeping Monitoring on Additional Surveillance Margin (ASM) and reporting to HOD. Blocking GSM and Illiquid scrip on Time to Time in the Trading system. RMS Blocking for Far month Contract, RMS Blocking for Illiquid scrip & Ban Period Contracts. Keeping track of MTM Alert violation, MTM net po...

FATCA / CRS Reporting Knowledge of trading profile Future and Options derivatives, currency derivatives, commodity, SLBM, Dormant, RAL etc C lient master changes for demat and trading account Experience in back office application t esting Resolving queries of branches Should be very conversant with processes of NSDL / CDSL

FATCA / CRS Reporting Knowledgeof trading profile Future and Options derivatives, currency derivatives,commodity, SLBM, Dormant, RAL etc C lientmaster changes for demat and trading account Experience in back officeapplication t esting Resolving queries of branches Should be very conversant with processes of NSDL / CDSL

FATCA / CRS Reporting Knowledgeof trading profile Future and Options derivatives, currency derivatives,commodity, SLBM, Dormant, RAL etc C lientmaster changes for demat and trading account Experience in back officeapplication t esting Resolving queries of branches Should be very conversant with processes of NSDL / CDSL

Monitor industry trends and competitor activities to identify new businessopportunities Identify, pitch, and onboard high-potential franchisees to expand the brokingnetworkManage the complete servicing cycle for newly onboarded or migrated members Collaborate with internal departments (eg, Compliance, IT, Operations, Legal) tofacilitate smooth onboarding and ongoing support for members Maintain strong relationships with franchisees and key stakeholders to ensure longterm engagement Ensure a seamless transition and resolution of queries to maintain client satisfaction Ensure all business activities are in line with SEBI guidelines and internal compliancepolicies Assist franchisees with produc...

1) Taking care of end to end process of clientsjourney from Account Opening to Closure. Reconciliation of Franking/E-stampingand storage. 2) Well-versed with KYC guidelines of CDSL / NSDL,SEBI, and Demat Account Opening. 3) Responsible for managing workflow for the teamand ensure adherence to departmental standards. 4) C oordinating with regulators like NSE, BSE,NSDL, CDSL and MCX to implement and adopt new regulations. 5) To work with senior management on audit andpreparation of reports, Co-ordination and timely closure of audit. 6) Responsible for processing KRA and C-KYC forall the new Accounts and Modification. 7) Well-versed with the DP, Exchange Platforms,and Back office Applications. ...

Advisingand Servicing Clients: Dealers provideinvestment advice to clients, ranging from retail to high net worth individuals(HNIs). This includes offering recommendations on stocks to buy or sellbased on market analysis, fundamental factors, and technicalindicators. They also provide ongoing support and updates to clients onmarket movements and relevant news. ExecutingTrades: Dealers execute buyand sell orders for clients on stock exchanges like the NSE and BSE. Thisinvolves using trading terminals and ensuring accurate trade execution. MaintainingCompliance: They ensure alltrading activities comply with regulatory guidelines from bodies like SEBI andinternal policies. Buildingand Retaining...

Managing of Share records, liaising Secretarial work related experience Coordinate with Registrar and Share transfer statutory returns filing, Ministry of Corporate Affairs Listing SEBI Compliance Preparatory work for the Pre & Post AGM Annual bonus Health insurance