08 Feb 2023
sITy
Company Secretary & Compliance , 3 to 5 years - Ahmedabad
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
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