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15 Nov 2022


Manager - Listing Compliance


10-12 Years

SEBI, Income Tax, Listing compliance, Company Secretary, LLB, Compliance, debt listing compliance

Job Description

Position: Manager - Listing Compliance
Qualification: CA, MBA, CS,LLB
Experience: 8 to 12 years
Location: Mumbai

Job Description:
Quarterly & on-going Compliance, announcements both Debt & Equity listed companies 
  •  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. 
    a. For financial results, upload records and share details with Trade team to be communicated to market in general 
    b. 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 letters to listed companies as per specified guidelines. 
  • Oversee the quarterly and on-going compliance process and resolve cases escalated by AM through interaction with the Listed Company for clarification of issues 
  • Scrutinize, approve and forward documents collected from Listed companies for compliance purposes. 
  • Oversee the timely dissemination of announcements including company updates, board meetings, results, shareholding patterns, etc of listed corporate. 
Suspension and revocation
  • Prepare and forward list of non-compliant companies and agenda to screening committee to initiate suspension or revocation process. 
  • Coordinate with members of penalty waiver committee to finalize meeting date. 
  • Attend penalty waiver committee meetings; record and circulate the minutes of the meeting to committee members for future record 
  • To oversee the processes involved in ensuring proper dissemination of announcements received from the corporate, MFs, quarterly and on-going compliance of listed companies and their suspension, revocation and de-listing. 
  • To develop relationship with listed corporate, mutual funds and regulatory authorities. 
  • To keep self and team updated on the developments, changes in rules, regulations, circular, and notifications by regulatory bodies.
  •  To recommend policy, process to enhance service standards, customer satisfaction and implement changes by regulatory bodies.
  • Prepare approval note and forward for final approval to initiate necessary action.  
Miscellaneous activities 
  • Prepare periodic reports in specified format to share with SEBI as per agreed timelines. 
  • To maintain relationship with Listed companies through frequent visits and meetings with senior leadership. 
  • Prepare agenda for executive committee and board meetings. 
  • Improve the service standards for various process 
  • Prepare new process maps and update the existing ones 
  • Prepare MIS & monthly reports for SEBI & other agencies. 
  • Ensure adhoc data requests by SEBI & external agencies, 
  • Ministry of Finance, Income Tax, SFIO and Legal are responded in a timely and proper manner. 
  • Monitor SEBI, Ministry of Finance, RBI websites to identify new guidelines & policy level changes. 
  • 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 SOP Fines 
  • Any other activity as deemed to fit 

15 November 2022


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