Compliance Officer- SEBI

HITACHI VANTARA INDIA PRIVATE LIMITED; Maharashtra; On-site; INR 1,800,000 - 3,000,000; Full time

Job summary

Hitachi Vantara India Private Limited seeks a Compliance Officer under SEBI PIT Regulations, 2015. The role requires a Company Secretary (CS) qualification and 6–7 years of compliance experience, preferably with listed entities or professional services.

You will manage insider trading controls, oversee the PITR tooling, coordinate with IT and security teams, and train staff to ensure regulatory adherence across the firm.

Qualifications

• CS with 6–7 years of experience in compliance roles.
• Experience as Company Secretary or Compliance Officer in a listed entity preferred.
• Knowledge of SEBI PIT Regulations, 2015 required.

Responsibilities

• Ensure compliance with SEBI PIT Regulations, policies, and recordkeeping.
• Oversee PITR compliance tool operation and enhancements.
• Coordinate with cross-functional teams for PITR implementation and improvement.
• Respond to regulatory queries from listed clients in a timely manner.
• Provide guidance on regulatory requirements and conduct trainings.

Skills

SEBI PIT Regulations

Compliance management

Risk management

Education

Company Secretary (CS)

Tools

PITR compliance tool

Job description

Hiring for the role of Compliance Officer under SEBI (PIT) Regulations, 2015

Expertise/Competency: Quality and Risk Management Group (QRMG)

Location: Delhi/ Mumbai

Qualification: Company Secretary (CS)

Preferred Profile: Candidates who have independently served as a Company Secretary and/or Compliance Officer of a listed entity, or have worked with a reputed professional services firm, will be preferred.

Work Experience: Min 6-7 years

Key Responsibilities

• Strong understanding of SEBI (Prohibition of Insider Trading) Regulations, 2015.
• Ensure compliance with the firm's Insider Trading Code, policies, and procedures, including maintenance of records, monitoring adherence to safeguards for preservation of Unpublished Price Sensitive Information (UPSI), monitoring trades, and implementation of the Code of Conduct.
• Oversee the operation, management, and enhancement of the firm's PITR (Prohibition of Insider Trading Regulations) compliance tool.
• Coordinate with vendors, IT, Information Security, P&C, and other cross-functional teams for implementation, automation, and continuous improvement of the firm's PITR framework in line with applicable regulatory requirements.
• Act as the central point of contact for resolution of firm-wide PITR-related queries and provide guidance on regulatory requirements.
• Support and guide engagement teams in responding to queries and information requests received from listed clients in a timely and compliant manner.
• Review and advise on Insider Trading related clauses in Non-Disclosure Agreements (NDAs) and other contractual documents.
• Monitor, investigate, and promptly report insider trading violations or suspected violations to the Stock Exchanges and SEBI, wherever required under applicable regulations.
• Drive awareness, trainings, and periodic communications to strengthen compliance with SEBI (PIT) Regulations across the firm.