Assistance Manager - Listing Compliance

Job Description

• 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