Lead - SEBI Compliance

Lead - SEBI Compliance Officer | Mumbai | Top Listed CompanyExperience: 4-10 YearsLocation: MumbaiIndustry: Top Listed Company (Manufacturing / Diversified Conglomerate)Department: Secretarial & SEBI ComplianceJob Purpose:Compliances form the backbone of corporate governance. In today's dynamic regulatory environment, compliance is not just a requirement but a strategic imperative. The role of the Lead SEBI Compliance Officer is crucial in ensuring the company's adherence to SEBI (LODR), PIT, FEMA, RBI, and other key regulatory frameworks - fostering transparency, investor confidence, and corporate credibility.Key Responsibilities:1. SEBI (LODR) Compliances, 2015- Ensure timely and accurate compliance with all SEBI (LODR) requirements.- Monitor, interpret, and implement SEBI circulars, amendments, and consultation papers.- Educate senior management on key regulatory updates.Manage filings and reports such as:- Quarterly Shareholding Pattern, Corporate Governance Report, Financial Results- Related Party Transaction (RPT) reporting- Submission of Annual Report, BRSR, AGM/Board notices, and shareholder grievance reports- Oversee digitalization of RPT reporting through Hyperion or similar compliance tools.2. SEBI (Prohibition of Insider Trading) Regulations, 2015 (PIT Regulations)- Manage and update the Designated Persons (DP) list (650+ employees).- Maintain Structural Digital Database (SDD) for UPSI tracking and reporting.- Ensure timely disclosures, pre-clearances, and window closure notices.- Conduct employee training and awareness programs on insider trading regulations.3. Employee Stock Option Scheme (ESOP) Compliances- Coordinate with GHR, law firms, and finance for grant, exercise, and allotment of ESOP shares.- Ensure compliance with SEBI ESOP guidelines and obtain PCS certification.- Handle listing of newly issued shares and quarterly updates to stakeholders.4. RBI & FEMA Compliances (for Foreign Subsidiaries)- Ensure timely filing of Annual Performance Reports and Asset-Liability statements with RBI.- Handle approvals and reporting for equity remittances and overseas investments.- Liaise with AD Banks, consultants, and regulatory authorities for FEMA-related matters.5. Due Diligence Reports (RBI Circulars)- Coordinate with Practicing Company Secretary (PCS) for preparation and certification of Due Diligence Reports for consortium loans.6. Loans, Debentures & Commercial Paper (CP) Issuance- Manage loan documentation, charge registration (CHG-1/CHG-4), and covenant compliance.- Coordinate with NSDL/CDSL and NSE for ISIN creation and listing of CP/Debentures.7. Corporate Governance & Shareholder Information- Prepare and review Corporate Governance Report and Director's Report.- Ensure compliance under Companies Act, SEBI LODR, and ESOP regulations.- Liaise with statutory auditors for governance certification.8. Electoral Bond Compliance- Coordinate with SBI for documentation and issuance of electoral bonds in line with regulatory norms.Candidate Profile:Qualification: CS (Mandatory); LLB preferredExperience: - 4-10 years in SEBI Compliance / Secretarial Department of a Top 100 Listed CompanySkills: - Strong knowledge of SEBI (LODR), PIT, ESOP, FEMA, and RBI regulations; Excellent coordination, documentation, and reporting skills; exposure to digital compliance tools preferred.Why Join:- Opportunity to lead SEBI Compliance in a large, reputed listed organization.- Exposure to complex compliance functions at a global scale.- Collaborative, learning-oriented work environment with strong governance culture. (ref:iimjobs.com)