Listing Compliance- Assistant Vice President/Vice President

2 days ago

Mumbai, Maharashtra, India NCDEX Full time

Job Purpose

We're looking for a seasoned and strategic Vice President of Listing Compliance to lead and manage our company's compliance with all stock exchange listing regulations. This individual will be a key liaison with regulatory bodies, including the Securities and Exchange Board of India (SEBI) and stock exchanges like the BSE and NSE. The ideal candidate will have extensive experience in corporate governance, legal affairs, and capital market regulations, with a proven track record of maintaining impeccable compliance standards for a publicly listed company.

Key Responsibilities

  • Lead Compliance Efforts: Serve as the head of all listing compliance activities, ensuring the company adheres to regulations, including SEBI Listing Obligations and Disclosure Requirements (LODR).
  • Regulatory Reporting & Filings: Oversee the timely and accurate preparation and submission of all mandatory filings, disclosures, and reports to stock exchanges and SEBI. This includes quarterly and annual financial results, corporate governance reports, and other material event disclosures.
  • Policy & Process Management: Develop, implement, and maintain robust internal policies, procedures, and controls to ensure ongoing compliance. Regularly review and update these frameworks to reflect changes in regulatory requirements.
  • Stakeholder Engagement: Act as the primary point of contact for SEBI, stock exchanges, and other regulatory bodies. Liaise with internal departments, including finance, legal, and investor relations, to ensure a coordinated approach to compliance.
  • Advisory & Training: Provide expert advice to the Board of Directors, senior management, and key stakeholders on corporate governance and compliance matters. Conduct training sessions for relevant employees to raise awareness of regulatory obligations.
  • Risk Management: Proactively identify and mitigate compliance risks. Stay abreast of changes in the regulatory landscape, new laws, and evolving best practices to ensure the company remains ahead of compliance requirements.
  • Board & Committee Support: Prepare board and committee meeting materials related to compliance, and present on regulatory matters as needed.

Knowledge Required

Deep and practical knowledge of SEBI regulations, especially LODR, the Companies Act, 2013, and the rules and regulations of major stock exchanges (BSE, NSE).

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