Listing Compliance- Sebi Lodr Job In Topgear
- Topgear Consultants
- 5 to 10 Yrs
- Mumbai
- 1 month ago
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Job Description
Opening with a leading Broking Industry for their office in BKC, Mumbai.
Role: Listing Compliance- SEBI LODR
Location: BKC, Mumbai
Experience: 5 Years+
Qualifications: LLB, CS
Roles & Responsibilities:
*All monitor all companies compliance. Collect and scrutinize documents from listed company as per checklist to ensure adherence with compliance norms and requirements.
*Seek clarifications from listed companies wherever necessary during the process of scrutiny of documents. Re-check for documents consistency submitted by companies to ensure adherence to compliance requirements.
*Update system with relevant details related to specific quarterly compliance requirements. a. For financial results, upload records on NSE website and share details with Trade team to be communicated to market in general
* Issue approval notes, non-compliance letters and show cause letters to listed companies as per specified guidelines.
*Oversee the quarterly and on-going compliance process and resolve cases escalated by AM through interaction with the Listed Company for clarification of issues of company Non-Confidential Scrutinize, approve and forward documents collected from Listed companies for compliance purposes.
*Oversee the timely dissemination of announcements
*Prepare and forward list of non-compliant companies action as per SEBI SOP circular For corporate actions, collect Ex-Date calculated by Clearing team, and give effect to Specific corporate action on the Ex-Date calculated in the system.
*Attend penalty waiver committee meetings; record and circulate the minutes of the meeting to committee members for future record Prepare approval note and forward for final approval to initiate necessary action.
*Examine the compliance of suspended companies and further recommends for revocation on compliance.
*Prepare periodic reports in specified format to share with SEBI as per agreed timelines.
*To maintain relationship with Listed companies through frequent visits and meetings with senior leadership.
*Prepare agenda for executive committee and board meetings. Improve the service standards for various process Prepare new process maps and update the existing ones Prepare MIS & monthly reports for SEBI & other agencies.
*Ensure adhoc data requests by SEBI & external agencies, Ministry of Finance, Income Tax, SFIO and Legal are responded in a timely and proper manner. Monitor SEBI, Ministry of Finance, RBI websites to identify new guidelines & policy level changes.
*Execute the process of Name change / Symbol Change of Listed companies on the Exchange Execute and monitor the process of Sub-division / Face value split Execute and monitor the process of Suspension & revocation of mutual funds Execute and monitor the process SOP Fines Any other activity as deemed to fit
Interested Candidates can share their CV's at hidden_email
Employement Category:
Employement Type: Full timeIndustry: Broking
Role Category: Company Secretary
Functional Area: Not Specified
Role/Responsibilies: Listing Compliance- Sebi Lodr Job In Topgear
Contact Details:
Company: Topgear ConsultantsLocation(s): Mumbai
Keyskills: compliance regulations sebi regulations listing sebi
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