CS Fresher- Regulatory Compliance

Role & responsibilities

• Track regulatory circulars, notifications, and communications issued by SEBI, Stock Exchanges, Depositories, and other applicable regulatory authorities.
• Support in analysing regulatory updates and assessing their applicability to the organisation.
• Maintain a tracker of regulatory developments and ensure timely action/closure.
• Monitor regulatory emails received from Exchanges and Depositories.
• Coordinate with relevant internal stakeholders to ensure appropriate and timely responses.
• Assist in drafting and reviewing responses to regulatory queries and communications.
• Monitor employee transactions in securities in accordance with SEBI (Prohibition of Insider Trading) Regulations and the organisation's internal Code of Conduct.
• Process and track employee requests for trading approvals.
• Maintain records of disclosures, approvals, and transactions.
• Support monitoring of trading window closures and other related compliance requirements.
• Assist in preparing and submitting periodic and event-based regulatory filings to Stock Exchanges and Depositories.
• Ensure timely submission of regulatory reports and maintain appropriate documentation and records.
• Coordinate with internal teams for collection and validation of information required for submissions.

Preferred candidate profile

Qualified Company Secretary

• Strong interest in Securities Laws, SEBI Regulations, Corporate Laws, and Regulatory Compliance.
• Good understanding of the SEBI (Prohibition of Insider Trading) Regulations will be an advantage.