Compliance Officer

3 weeks ago

Mumbai, India Serviam Manpower Private Limited Full time

**Years of Experience: 3+ years**
**Qualification-: LLB graduate**

**CTC- From 6 LPA to 8 LPA**

**Job Description: -**

**1.Monitoring of SEBI (LODR) regulations, SEBI (NCS) regulations, Debenture Trustee regulations, Securitized Debt instruments, SEBI (Alternative Investment Fund) regulations, Companies Act, 2013, Reit/ Invit regulations, Insolvency and Bankruptcy Code, 2016 and IFSCA (GIFT City Compliances) applicable SEBI circulars regulations.**

**2.Addressing regulatory, Issuer companies, Investors, Arrangers, Valuers, Advocate,**

**Chartered Accountants, cross functional teams’ queries/ clarification.**

**3.Representing before SEBI, Trustee Association of India and various regulator as and**

**when necessary.**

**4.Supervision on timely submission to SEBI/ Stock Exchange related compliances**

**(BSE/NSE listing and periodic return).**

**5.Reviewing various reports and identifying breaches/ violations of regulatory and**

**statutory provisions.**

**6.Independently or in consultation reviewing compliance issues in a transaction and**

**opining on the same to operations team and clients.**

**7.Independently opining operations team with regards to actionable in case of any**

**contractual or regulatory breach by issuer.**

**8.Identifying of default and opining on actionable within timelines to operations team.**

**9.Monitoring of NesL filings, default monitoring, and Default updation on NSDL portal,**

**DLT portal.**

**10.Assisting HOD with necessary inputs regarding compliance matters.**

**11.Monitoring and ensuring that the Issuer companies adhere to applicability compliances & continuous monitoring of the performance (ability to service the debt securities) of the issuer companies to protect the interest of the Investors / Debenture holders.**

**12.Frequent Audit and Inspection of documents / information with respect to Issuer**

**compliances and engaging with cross functional departments on a continuous basis for the same.**

**13.NISM Intermediary Certification.**

**14.Preparation of process notes basis various applicable circulars, time to time training to the**

**operations team.**

**15.Due Diligence activity w.r.t. NCD issuance, engaging with the CA firms, valuers, TSR.**

**Salary**: Up to ₹800,000.00 per year

Schedule:

- Day shift

**Speak with the employer**
+91 9136067971

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