Compliance Officer

4 days ago

Mumbai, India Consult Hagnos Full time

Years of Experience: 6-8 years

Qualification-: Qualified CS / LLB

Work location: Lower Parel

CTC - Best in Industry

Job Description - Compliance Officer

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, Advocates,

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 returns).

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.

**Job Types**: Full-time, Permanent

**Salary**: ₹271,572.06 - ₹1,362,819.94 per year

**Benefits**:

- Health insurance

Schedule:

- Day shift

Supplemental pay types:

- Performance bonus

Ability to commute/relocate:

- Mumbai, Maharashtra: Reliably commute or planning to relocate before starting work (required)

**Experience**:

- total work: 8 years (preferred)

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