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15 Nov 2022

RkYW

Assistance Manager - Listing Compliance

Mumbai

4-5 Years

Listed Compliance, Compliance in Mutual Fund, Compliance, Sop

Job Description

Position: Assistance Manager - Listing  Compliance
Qualification: Any Graduate
Experience: 1 to 5 years
Location: Mumbai

Quarterly 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. 
  • 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.  
On-going compliance, announcements 
  •  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. 
Suspension and Revocation of suspension 
  • 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. 
Miscellaneous activities 
  • 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

RkYW

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