13 Stock Exchanges Jobs

The Officer - Surveillance position in Mumbai requires a graduate candidate up to 25 years of age with 1-2 years of experience in surveillance functions in Stock Exchanges and Brokerage Houses. The ideal candidate should be conversant with Depository operations, possess good communication skills, and be proficient in Microsoft Excel and Word. The key responsibilities include working on various alerts generated by the system, coordinating with DPs, preparing reports on processed alerts, conducting STR Reporting, and testing software. For the Assistant Manager / Deputy Manager - Surveillance role in Mumbai, the candidate should be a graduate or postgraduate up to 35 years of age with 5-8 years of experience in surveillance functions in Stock Exchanges and Brokerage Houses. Similar to the Officer position, the candidate should be familiar with Depository operations, have good communication skills, and be proficient in Microsoft Excel and Word. Additional responsibilities include preparing MIS for management, enhancing surveillance software, and ensuring compliance with regulatory requirements and PMLA regulations. The Assistant Manager / Deputy Manager - Admission Cell position in Hyderabad requires a candidate with 5-10 years of work experience in Capital markets, preferably in depository-related operations. The candidate should have a Graduate/Post Graduate/MBA qualification, be well-versed in depository operations, possess good analytical and verbal & written communication skills, and exhibit teamwork and collaboration abilities. The responsibilities entail managing day-to-day activities related to the admission of issuer companies, coordinating with various stakeholders, and preparing reports/MIS for senior management. The Assistant Vice President (Secretarial Department) role in Mumbai necessitates a Qualified Company Secretary with 10-12 years of experience in handling secretarial matters of listed companies. The candidate should have extensive knowledge of corporate law, governance, and compliance, excellent communication and organizational skills, and the ability to handle confidential information with discretion. The key responsibilities include advising the Board on corporate governance practices, ensuring regulatory compliance, maintaining shareholder relations, record-keeping, and providing legal advice to the Board and senior management. For the Assistant Manager / Deputy Manager - Data Mining position in Mumbai, the candidate should be a graduate or postgraduate up to 30 years of age with a minimum of 4-5 years of experience in surveillance functions in Stock Exchanges and Brokerage Houses. The candidate should possess knowledge of regulatory compliance, be conversant with Depository operations, have good communication skills, and be proficient in Microsoft Excel and Word. The role involves studying regulatory circulars, taking actions on regulatory orders/advisory, and working on Foreign Investment Monitoring by Listed Companies. The Officer / Assistant Manager / Deputy Manager - Admission Cell in Mumbai requires a candidate with 5-10 years of work experience in Capital markets, proficiency in depository operations, good analytical and communication skills, and the ability to multitask effectively. The responsibilities include managing activities related to the admission of issuer companies, coordinating with various entities, and preparing reports/MIS for senior management. Lastly, the Officer - Data Mining position in Hyderabad seeks a candidate with 1-2 years of experience in surveillance functions, knowledge of regulatory compliance, good communication skills, and proficiency in Microsoft Excel and Word. The responsibilities include studying regulatory circulars, taking actions on regulatory orders/advisory, and working on Foreign Investment Monitoring by Listed Companies.,

You will be a part of a dynamic team working for one of the largest multi-national banks (Client) with a global presence. The team specializes in the Supply Chain Finance domain and is known for providing industry-leading solutions to the Client. Your primary responsibility will involve enhancing the existing platform to meet the evolving business requirements in line with industry trends, both functionally and technically. The solution you will be working on is a global application that spans across 3 regions and over 20 countries, all supported by a single code base with multi-lingual capabilities. To excel in this role, you should have 5 - 8 years of experience in Capital Markets, with exposure to brokerage, clearing corporations, depositories, stock exchanges, mutual fund asset management companies, or similar financial institutions. Additionally, you should possess at least 2 years of hands-on experience in custody firms, focusing on areas such as transaction processing, safekeeping, account opening, corporate actions, proxy services, income collection, tax services, cash management, real-time reporting, and market infrastructure connectivity. Strong communication, organizational, and analytical skills are essential for success in this role, along with the ability to work effectively in a team with a cross-locational presence. Desirable skills that would be beneficial for this position include certifications like CFA, GARP, PRM, PMI, IIBA, or ISTQB, as well as experience in the IT sector as a business or test analyst in custody domain-related projects. An understanding of AI/ML applications in custody operations would also be advantageous in this role.,

About the Company - PlusWealth Capital Management , a high-frequency trading organization established in 2008, is a leader in innovative trading solutions. Join us as a Compliance Manager to shape the future of trading. Responsibilities - Handling Compliance activities w.r.t Stock Broker and Depository Participant towards SEBI, Stock Exchanges, Depository, KRA, CKYC CERSAI, FIU, IFSCA Compliances, MCA, ROC, GIFT Authority, SEZ Operations and AIF (Alternative Investment Fund Cat-3) Regularly Coordinating with Regulators, Auditors, Custodian, Tax Consultants, RTA, Investors, Vendors, Consultants Looking after Daily/ Monthly/ Quarterly/ Half yearly/ Annual compliances of the AIF, Stock Broking, Depository Participant towards regulators including SEBI, IFSCA, Stock Exchanges, CDSL, MCA, Custodian, Fund Accountant, Tax Consultant and Auditors and Investors (Compliance Calendar of Stock Exchanges can be referred to for detailed tasks alongside monthly compliance calendars issued by consultant for AIF) Ensuring smooth functioning and conduct of all kinds of Audits, Inspections & Investigations of the organization conducted by SEBI, IFSCA, Exchanges, Depositories etc scheduled on regular or ad-hoc basis Handling Ad hoc queries from the Regulators (SEBI / IFSCA / GIFT Authority), Investigation / Surveillance Divisions of Exchanges / Depository, KRA, CERSAI, CKYC, FIU including Clients / Investors and RMS/Trading/Accounts division of the organization etc Reviewing E-mail boxes of all the entities mentioned above on daily basis to ensure every important communication gets addressed by the authorities Dealing with auditors, inspecting officials, stake holders, vendors, consultants on regular basis In addition to the above roles and responsibilities, the person will also overlooking / supervising / performing daily tasks as mentioned in attached tasks list of Compliance and DP departments Show more Show less

As a Company Secretary at an Indian Manufacturing Conglomerate based in Bangalore, your primary responsibility will be to ensure compliance with all SEBI guidelines and agreements with the Stock Exchange. This includes drafting and vetting agreements, providing training on the compliance of the code of conduct, FCPA, and other corporate policies as required. You will be in charge of all secretarial functions, including organizing and preparing minutes, agenda, notices of meetings, handling shareholder matters, litigation, and communication. Your role will also involve drafting reports, e-filing documents, maintaining and updating all statutory books, registers, and records, as well as ensuring all filings of forms, returns, and documents are completed. You will be expected to interface with regulatory bodies such as ROC, SEBI, Stock Exchanges, RBI, and others to ensure all related compliances are met. Key skills required for this position include the ability to provide support to various functions of the company on compliance matters, a deep knowledge of corporate laws including the Companies Act, SEBI Act, rules, and regulations, particularly Takeover regulations and Insider Trading Guidelines. You will also be expected to advise, guide, support, and assist senior management in all legal, secretarial, board, and shareholder matters, as well as in dealings with regulators and external stakeholders. If you have a strong background in corporate compliance, a keen eye for detail, and excellent communication skills, this role offers an exciting opportunity to contribute to the growth and success of the company while ensuring adherence to all legal and regulatory requirements.,

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.

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

You should have 8 - 10 years of experience in Capital Markets with exposure to brokerage, clearing corporations, depositories, stock exchanges, mutual fund asset management companies, or similar. Along with this, you should possess 5+ years of hands-on experience in custody firms across various areas such as transaction processing and settlement, safekeeping, account opening and onboarding, corporate action processing, proxy services, income collection, tax services, cash management, real-time reporting, and market infrastructure connectivity. It is essential for you to have proficient communication, organizational, and analytical skills. Being team-oriented and having experience working with cross-locational presence are also important qualities. Additionally, having certifications such as CFA, GARP, PRM, PMI, IIBA, or ISTQB would be considered as good to have skills. IT sector experience as a business or test analyst in custody domain-related projects and an understanding of AI/ML applications in custody operations are also beneficial. Your responsibilities will include specializing in Custody Services as a Subject Matter Expert, identifying challenges within global and boutique custody firms, and proposing technology solutions/offerings for the Capital Markets industry. You will need to develop end-to-end workflow schematics for custody operations at client sites, collaborate with AI architects to identify and develop AI/ML and Generative AI use cases for custody operations, and publish thought leadership in the form of whitepapers focusing on industry transformation through modern technology. Conducting solution demonstrations, documenting current-state custody operations, assessing technology use, preparing a target-state operating model, facilitating training to enhance custody domain knowledge, and staying updated with trends in custody services are also part of your responsibilities. The qualifications required for this role are at the Career Level - IC3. About Us: As a world leader in cloud solutions, Oracle uses tomorrow's technology to tackle today's challenges. With over 40 years of experience, Oracle has partnered with industry leaders in almost every sector and continues to thrive by operating with integrity. Oracle is committed to growing an inclusive workforce that promotes opportunities for all and encourages innovation from everyone. Oracle offers competitive benefits, including flexible medical, life insurance, and retirement options, and supports its employees with global opportunities where work-life balance flourishes. Oracle is dedicated to including people with disabilities at all stages of the employment process and provides accessibility assistance or accommodation for disabilities upon request via email at accommodation-request_mb@oracle.com or by calling +1 888 404 2494 in the United States.,

You will be responsible for having a strong understanding and hands-on experience in Equity Fundraising strategies and execution. Your expertise in the Stake Sale process along with practical implementation experience will be essential. You should possess in-depth knowledge of IPO processes, including regulatory requirements, documentation, planning, and execution. A solid understanding of Stock Exchanges like BSE, NSE, NYSE, NASDAQ, and their operational frameworks is required. Familiarity with regulatory bodies such as SEBI and SEC, and their compliance requirements is also crucial. As a part of your role, you will lead and coordinate all phases of the IPO process, from pre-planning to post-IPO transition. Your responsibilities will include preparing and reviewing IPO documentation (e.g., S-1 filings, prospectuses, investor materials) and collaborating with internal teams (CFO, legal, investor relations, etc.) and external partners (banks, auditors, legal firms). Managing due diligence processes, data room setup, and information flow will also be expected from you. Additionally, you will be assisting in valuation analysis, roadshow planning, and investor presentation development. Supporting the transition to public company reporting standards (SOX, quarterly filings, internal controls) is also part of your duties. Monitoring market trends and advising leadership on optimal IPO timing and structure will be another critical aspect of your role. This is a Full-time position with benefits including cell phone reimbursement, provided food, and Provident Fund. The work schedule is a Day shift, and the educational requirement is a Bachelor's degree (Preferred). A minimum of 4 years of experience in Investment is preferred for this role. The work location is in person, and the expected start date is 01/08/2025.,

You have an exciting opportunity to join our team as a Company Secretary with a strong background in capital markets. In this role, you will be responsible for managing corporate governance, compliance, and secretarial duties, as well as supporting fund-raising activities, regulatory filings, and interactions with stock exchanges and SEBI (or relevant capital market authority). Your key responsibilities will include conducting corporate secretarial functions such as ensuring compliance with the Companies Act, SEBI regulations, and stock exchange listing obligations (LODR). You will be in charge of organizing and conducting Board meetings, AGM/EGMs, and committee meetings, including preparing agendas, notices, resolutions, and minutes. Additionally, maintaining statutory registers, filings, and records as per regulatory requirements will be part of your duties. You will also play a crucial role in managing all compliance aspects related to IPOs, QIPs, rights issues, and other capital-raising activities. This will involve liaising with SEBI, stock exchanges, NSDL/CDSL, credit rating agencies, and other regulatory authorities. Ensuring timely filing of returns and disclosures under SEBI (LODR), Insider Trading Regulations, SAST, etc., will be essential. As part of your responsibilities, you will support in drafting annual reports, corporate governance reports, and shareholder communications. You will collaborate with auditors, lawyers, and investment bankers for corporate transactions. Moreover, you will provide strategic and advisory input by advising the Board and senior management on governance best practices and compliance strategies. Monitoring developments in capital market regulations and assessing their impact on the company will also be part of your role. Additionally, you will support in mergers, acquisitions, and restructuring activities from a secretarial and regulatory standpoint. This is a full-time, permanent position with the benefit of life insurance. The work schedule is during the day shift, and the work location is in person. If you have a minimum of 4 years of experience as a Company Secretary and possess a strong understanding of capital markets, we encourage you to apply for this exciting opportunity.,

You should have 8 - 10 years of experience in Capital Markets with exposure to brokerage, clearing corporations, depositories, stock exchanges, mutual fund asset management companies, or similar. Additionally, you should possess 5+ years of hands-on experience in custody firms across various areas such as transaction processing and settlement, safekeeping, account opening and onboarding, corporate action processing, proxy services, income collection, tax services, cash management, real-time reporting, and market infrastructure connectivity. It is essential to have proficient communication, organizational, and analytical skills while being team-oriented and capable of working with a cross-locational presence. Additionally, having certifications like CFA, GARP, PRM, PMI, IIBA, or ISTQB would be beneficial. Experience in the IT sector as a business or test analyst in custody domain-related projects and an understanding of AI/ML applications in custody operations are considered good-to-have skills. Your responsibilities will include specializing in Custody Services as a Subject Matter Expert, identifying challenges within global and boutique custody firms, proposing technology solutions for the Capital Markets industry, developing end-to-end workflow schematics for custody operations, collaborating with AI architects for AI/ML and Generative AI use cases, publishing thought leadership whitepapers, creating sales collaterals, conducting solution demonstrations, documenting current-state custody operations, assessing technology use, preparing a target-state operating model, facilitating training, and staying updated with trends in custody services. Your qualifications should be at the Career Level - IC3. Oracle, as a world leader in cloud solutions, values integrity and innovation, and is committed to fostering an inclusive workforce. Oracle offers competitive benefits, flexible medical, life insurance, and retirement options, and supports employees in giving back to their communities through volunteer programs. If you require accessibility assistance or accommodation for a disability, you can contact Oracle through the provided email or phone number. ,

As a Company Secretary at an Indian Manufacturing Conglomerate in Bangalore, you will be responsible for ensuring compliance with all SEBI guidelines and agreements with the Stock Exchange. Your duties will include drafting and vetting agreements, providing training on code of conduct, FCPA, and other corporate policies, as assigned. You will oversee all secretarial functions, including Board and General meetings, handling shareholder matters, litigation, and communication. In this role, you will organize and prepare minutes, agendas, notices for meetings, draft reports, e-file documents, and maintain all statutory books, registers, and records. You will be responsible for all filings of forms, returns, and documents, as well as interface with regulatory bodies such as ROC, SEBI, Stock Exchanges, RBI, and others to ensure compliance. Key skills required for this position include the ability to provide support to various functions of the Company on compliance matters, knowledge of corporate laws including Companies Act, SEBI Act, and rules and regulations such as Takeover regulations and Insider Trading Guidelines. You will be expected to advise, guide, support, and assist senior management in all legal, secretarial, Board, and Shareholder matters, as well as in interactions with regulators and external stakeholders.,

We are looking for a qualified and experienced Company Secretary with 3 - 5 years of post-membership experience, preferably in a listed company, to ensure effective corporate governance, regulatory compliance, and support for the Board of Directors. Key Responsibilities: o Ensure compliance with Companies Act, SEBI (LODR), and other applicable corporate laws and regulations o Organize and coordinate Board Meetings, Annual General Meetings (AGMs), and Committee Meetings, including drafting notices, agendas, and minutes o Maintain statutory registers and records under the Companies Act o Filing of forms and returns with MCA, ROC, and SEBI o Liaison with regulatory bodies like Stock Exchanges, NSDL/CDSL, and Registrar & Share Transfer Agents (RTA) o Handle corporate disclosures, quarterly compliances, and stock exchange filings (BSE/NSE) o Drafting and vetting of corporate legal documents, board resolutions, and shareholder communications o Ensure timely compliance with corporate governance norms and policies o Provide secretarial support to management and advise on corporate laws, regulations, and risk management o Support in annual reports preparation, shareholding patterns, and investor communications Required Candidate Profile: o Qualified Company Secretary (CS) with 3 - 5 years of relevant experience o Preferable experience in a public listed company o Strong knowledge of Companies Act, 2013, SEBI (LODR) regulations, and secretarial standards o Excellent drafting, communication, and coordination skill o High attention to detail and integrity o Proficiency in using MCA portal, SEBI filing systems, and stock exchange compliance tools Min. Exp. 3 - 5 years of experience, preferably in a listed company

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.