15 Nov 2022
Assistance Manager - Listing Compliance
Listed Compliance, Compliance in Mutual Fund, Compliance, Sop
Qualification: Any Graduate
Experience: 1 to 5 years
- 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.
- 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.
- Issue approval notes, non-compliance letters and show cause lettersto listed companies as perspecified guidelines.
- Examine and check all on-going compliance documents for eligibility as per listing agreement.
- Upload documents and information for investors and general public at large.
- Create approval note as per the formats provided initiate process of suspension, revocation of suspension of listed companies.
- Create IOM to inform Trade department to initiate suspension process on identified listed company.
- Check and monitor suspended company’s compliance on all clauses for 2 quarters and recommend revocation of suspension wherever required.
- 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
15 November 2022