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08 Feb 2023


Company Secretary & Compliance , 3 to 5 years - Ahmedabad


4-5 Years

SEBI, Due Dilligence, Companies Act, Secretarial compliance, Company Secretary, Compliance, Company Law

Job Description

Position: Company Secretary & Compliance 
Qualification: CS
Experience: 3 to 5 years
Location: Ahmedabad

Job Description: 
  • Ensuring compliance of SEBI (Stockbrokers) Regulations, 1992 and all other applicable circulars, notifications issued by SEBI, NSE, BSE, CDSL time to time.- Timely filing of various details with SEBI, NSE, BSE, CDSL, ROC and other regulators.
  • Updation & Implementation of various policies like AML policy, RMS policy, Conflict of Interest policy, policy regarding circulation of unauthenticated news etc.
  • Onboarding of broking/DP clients with due diligence and to comply with the KYC norms.
  • Co-ordination with institutional clients w.r.t empanelment and review of empanelment on half yearly/yearly basis.
  • Implementation of all the compliance w.r.t KYC and other regulatory filings with various authorities.
  • Implementation of compliance w.r.t SEBI (Research Analysts) Regulations, 2014, SEBI (Depositories and Participants) Regulations, 2018 SEBI (Prohibition of Insider Trading) Regulations, 2015.
  • Preparation and maintenance of secretarial documents like notice, agenda, minutes, registers etc.
  • Drafting, Vetting, negotiating & executing various commercial/ business contracts and agreements
  • Handling NSE/BSE/CDSL inspections

08 February 2023


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