Team Member

3 days ago


Mumbai, Maharashtra, India National Securities Depository Limited Full time

Role

Team Member - Compliance

Qualification

Graduate in Law (LLB)/Commerce and Company Secretary (CS)

Location

Mumbai

Experience

5–7 years

Job Description:

  • Maintain up-to-date knowledge of SEBI circulars and notifications relevant to depository operations.
  • Review and drafting of all Regulatory policies.
  • Drafting and review of all agenda and minutes of the Regulatory Committee meetings like PID, ROC, Board etc.
  • Monitor changes in regulatory frameworks issued by SEBI, RBI, and other applicable bodies and initiate implementation.
  • Review and ensure maintaining accurate and up-to-date records of all regulatory correspondences and filings.
  • Track and close audit findings related to compliance matters in a timely manner.
  • Prepare compliance reports for internal stakeholders and the Board/Audit Committee.
  • Conduct internal compliance reviews and support audits and inspections conducted by regulators.
  • Act as a liaison with SEBI and other regulatory authorities for compliance-related matters.
  • Coordinate with internal departments for data collation, report preparation, and compliance implementation.
  • Ensure timely and accurate filings with SEBI under various regulations including LODR, PIT, and others.
  • Implement, monitor, and periodically review the internal Code of Conduct and Insider Trading policies.
  • Maintain trading windows and oversee pre-clearance and disclosures of trades by designated persons.
  • Conduct training and awareness programs for employees and designated persons on Insider Trading norms.
  • Any other responsibilities for ensuring/adding value to the compliance function.

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