Company secretary

4 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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