New
Job Preference:
3-4 Years’ Experience of Listed Compliances (from Broking Industry will be a plus)Qualification:
CSJob Description:
Responsibilities include but not limited to:- Compliances with SEBI LODR Regulations specified under SEBI Act, SCRA and the rules made there under and those specified by Stock Exchanges (NSE & BSE).
- Quarterly, Half yearly and Annual Compliance Reports on BSE and NSE under SEBI (LODR) Regulations 2015.
- Compliances related to Companies Act 2013.
- Preparation of Annual Report of the Listed Company.
- ROC/Secretarial Compliances.
- Board Meetings and Annual General Meetings.
- Preparation of Statutory returns/records with Registrar of companies, Stock Exchanges.
- Annual filing along with other e–filings of the ROC Forms.
- Appointment & Cessation of KMP and Directors.
- Preparation & maintenance of Minutes Book of the Board Meetings, General Meetings & Committee Meetings.
- Maintenance of Policies.
- LEI Registration and its Renewal.
- IEC Registration and its Renewal. ? Other group Companies ROC/ Secretarial Compliances.
- Responsibility of handling and supervising Trading, DP, Back Office, RMS and Exchange & Listing Compliances.
- Monitoring day to day exchange compliance.
- Monitoring listing compliance.
- Regular watch and reply on Alerts generated by exchanges.
- Regular watch and remedial action on Alerts generated by back office software.
- Watch on RMS.
- Any other work as may assigned.
Membership Compliances_ (NSE, BSE, MCX, ICEX, NCDEX, INDIA INX, NSE IFSC)
- Membership Compliances- NSE, BSE, MCX, NCDEX, & ICEX, NSE IFSC AND INDIA INX (BSE). ? DP (CDSL) & Exchanges- Monthly, Quarterly, Yearly and event-based Compliances.
- Appointment of Authorized Person, Remisiers and all documentation related with it.
- Inspection and Audit conducted by Exchanges.
Skills:
Desired Profile:
- Must be able to evaluate, file, compile, and present various reports.
- Advanced knowledge of excel.
- Ability to work under pressure.
- A keen eye for detail and desire to probe further into data.
- Deadline-orientated and an ability to stick to time constraints