Compliance Officer- SEBI

Hiring for the role of Compliance Officer under SEBI (PIT) Regulations, 2015

Expertise/Competency: Quality and Risk Management Group (QRMG)

Location: Delhi/ Mumbai

Qualification: Company Secretary (CS)

Preferred Profile: Candidates who have independently served as a Company Secretary and/or Compliance Officer of a listed entity, or have worked with a reputed professional services firm, will be preferred.

Work Experience: Min 8-10

Key Responsibilities

1. Strong understanding of SEBI (Prohibition of Insider Trading) Regulations, 2015.

2. Ensure compliance with the firm's Insider Trading Code, policies, and procedures, including maintenance of records, monitoring adherence to safeguards for preservation of Unpublished Price Sensitive Information (UPSI), monitoring trades, and implementation of the Code of Conduct.

3. Oversee the operation, management, and enhancement of the firm's PITR (Prohibition of Insider Trading Regulations) compliance tool.

4. Coordinate with vendors, IT, Information Security, P&C, and other cross-functional teams for implementation, automation, and continuous improvement of the firm's PITR framework in line with applicable regulatory requirements.

5. Act as the central point of contact for resolution of firm-wide PITR-related queries and provide guidance on regulatory requirements.

6. Support and guide engagement teams in responding to queries and information requests received from listed clients in a timely and compliant manner.

7. Review and advise on Insider Trading related clauses in Non-Disclosure Agreements (NDAs) and other contractual documents.

8. Monitor, investigate, and promptly report insider trading violations or suspected violations to the Stock Exchanges and SEBI, wherever required under applicable regulations.

9. Drive awareness, trainings, and periodic communications to strengthen compliance with SEBI (PIT) Regulations across the firm.