Compliance Manager – SEBI & Stock Exchange A client of RecSource Recruitment

The Corporate Institute; Chennai District; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

The Corporate Institute in Chennai seeks a seasoned SEBI and stock exchange compliance professional to lead regulatory filings, disclosures and governance processes for the group.

You will coordinate with exchanges and depositories, manage risk assessments, monitor regulatory updates, and ensure timely AGM activities and investor communications.

Qualifications

• SEBI LODR and stock exchange compliance knowledge.
• Experience with regulatory filings and disclosures.
• Understanding of corporate actions and governance requirements.
• Liaison with SEBI, BSE, NSE and depositories.
• Knowledge of insider trading prevention mechanisms and UPSI controls.
• Experience in risk management and regulatory updates.

Responsibilities

• SEBI LODR & Stock Exchange Compliance: identify and disclose material events to BSE/NSE within timelines.
• Periodic Filings: submit quarterly, half-yearly, and annual financial results, shareholding patterns, and governance reports.
• Corporate Actions: manage regulatory compliance for dividends, bonus issues, stock splits, buybacks, and rights issues.
• Liaison: serve as the primary nodal point of contact for SEBI, BSE, NSE, and Depositories.
• Insider Trading Prevention (SEBI PIT): monitor trading windows, UPSI control, and pre-clearance requests.
• Board Governance & Investor Relations: manage AGM workflow, e-voting, annual reports, and investor grievance tracking.
• Risk Management & Regulatory Updates: track amendments and implement corrective actions.

Job description

Core Responsibilities:

SEBI LODR & Stock Exchange Compliance:

• – Material Disclosures: Identify and disclose material events to BSE/NSE under Regulation 30 within prescribed timelines.
• – Periodic Filings: Submit quarterly, half-yearly, and annual financial results, shareholding patterns, and corporate governance reports.
• – Corporate Actions: Manage regulatory compliance for dividends, bonus issues, stock splits, buybacks, and rights issues.
• – Liaison: Serve as the primary nodal point of contact for SEBI, BSE, NSE, and Depositories (NSDL/CDSL).

Insider Trading Prevention (SEBI PIT):

• – Trading Windows: Monitor and implement the closure and opening of trading windows during financial result announcements.
• – UPSI Control: Maintain data to track Unpublished Price Sensitive Information.
• – Pre-Clearance: Review and approve trade pre-clearance requests from designated persons and promoters.

Board Governance & Investor Relations:

• – General Meetings: Manage the compliance workflow for Annual General Meetings (AGM), including e-voting and annual reports.
• – Grievance Redressal: Monitor, track, and resolve investor complaints via the SEBI SCORES platform.

Risk Management & Regulatory Updates:

• – Regulatory Tracking: Monitor amendments in SEBI regulations, Companies Act, 2013, and FEMA guidelines.
• – Internal Controls: Conduct gap analyses on existing compliance frameworks and implement corrective actions.