Mangalam Placement Pvt Ltd. | Company Secretary

2 weeks ago


mumbai, India Mangalam Placement Pvt Ltd. Full time

Job Title: Compliance Team Lead – Broking Compliance

Qualification : Company Secretary

Experience : 5 -10 yrs

Location: Churchgate, Mumbai

Job Responsibilities :

  • Lead, mentor, and manage the compliance team, ensuring efficient operations and high standards of accuracy.
  • Oversee team activities to ensure compliance policies and procedures are being followed.
  • Drive the implementation of compliance procedures specific to broking operations.
  • Monitor compliance with all relevant SEBI regulations, exchange guidelines, and company policies.
  • Conduct regular compliance audits and reporting to identify potential risks and areas of improvement.
  • Lead efforts to secure new registrations and licenses with SEBI, ensuring compliance with all regulatory requirements.
  • Liaise with internal and external stakeholders to gather necessary documentation and facilitate the registration process.
  • Monitoring SEBI/Exchange Circulars on daily basis and circulate the relevant circulars with all stakeholders
  • Managing Broking Companies and Stock Exchanges Compliances
  • Membership Compliances of Broking Companies pursuant to various Stock Exchanges Bye-Laws (i.e NSE, BSE, MSEI, NCDEX, MCX). Assisted in
  • Handling Inspection of SEBI and Stock Exchanges, Alternative Investment Fund.
  • Filling of NBFCs Compliances, RBI Compliances – Non-Banking Financial Company – Non – Systemically
  • Prepare various note on Company Law Matter, Securities Laws Matter and Compliances Related to it etc.
  • Report, Employee Stock Options Scheme, Postal Ballot, Secretarial Audit, Quarterly, Annually and Event-
  • Filling of Compliances under SEBI (Listing Obligations and Disclosure Requirements) Regulation, 2015 for BSE and NSE and MSEI Listed Company, Compliances under SEBI (Prohibition of Insider Trading ) Regulations, 2015.


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