Compliance Manager - SEBI & Stock Exchange
A client of RecSource Recruitment · Chennai · onsite · Posted 70d ago
About a minute. You'll make an account on the way through.
About this role
Core Responsibilities:
SEBI LODR & Stock Exchange Compliance:
- Material Disclosures: Identify and disclose material events to BSE/NSE under Regulation 30 within prescribed timelines.
- Periodic Filings: Submit quarterly, half-yearly, and annual financial results, shareholding patterns, and corporate governance reports.
- Corporate Actions: Manage regulatory compliance for dividends, bonus issues, stock splits, buybacks, and rights issues.
- Liaison: Serve as the primary nodal point of contact for SEBI, BSE, NSE, and Depositories (NSDL/CDSL).
Insider Trading Prevention (SEBI PIT):
- Trading Windows: Monitor and implement the closure and opening of trading windows during financial result announcements.
- UPSI Control: Maintain data to track Unpublished Price Sensitive Information.
- Pre-Clearance: Review and approve trade pre-clearance requests from designated persons and promoters.
Board Governance & Investor Relations:
- General Meetings: Manage the compliance workflow for Annual General Meetings (AGM), including e-voting and annual reports.
- Grievance Redressal: Monitor, track, and resolve investor complaints via the SEBI SCORES platform.
Risk Management & Regulatory Updates:
- Regulatory Tracking: Monitor amendments in SEBI regulations, Companies Act, 2013, and FEMA guidelines.
- Internal Controls: Conduct gap analyses on existing compliance frameworks and implement corrective actions.
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