Assistant Manager - Listing Compliance - BFS

Role Title - Assistant Manager

Department - Listing compliance

Qualification - CA fresher or 1-2 years of experience - 1 opening

CS + LLB fresher or 1-2 years of experience - 1 opening

Purpose of the role : 

- To List Company pursuant to Initial Public Offering, 19(2)(b) pursuant to scheme of arrangement, Mutual Fund, ETF and Existing Company listing on other Stock Exchange.

- To handle further issue like Qualified Institutional Placement, Preferential Allotment, Scheme of Arrangement, Bonus, ESOP etc.

- To ensure timely dissemination of announcements by listed corporate. To support the function in maintaining/ ensuring quarterly and on-going compliance of listed companies and initiate necessary action (suspension, de-listing) in case of non-compliance / maturity of securities.

- To build relationship with listed companies and mutual funds.

- To keep self updated on the developments/ changes in rules, regulations, circular and notification by regulatory bodies and update the listed corporate as well about the same.

Key Responsibility -

Listing Company pursuant to IPO, New Listing and 19(2)(b) pursuant to scheme of arrangement

IPO: 

Reading Offer Document and collect and scrutinize documents as per checklist to ensure adherence with compliance norms and requirements.

Handling Basis of allotment and entire listing procedure.

New Listing:

- Checking the eliglibity of the company and scrutinize documents as per checklist and listing the Company on the NSE.

- 19(2)(b) pursuant to scheme of arrangement

- Collecting and scrutinize documents as per checklist to ensure adherence with compliance norms and requirements and handling entire listing procedure.

Mutual Fund & ETF:

- Collecting and scrutinize documents as per checklist to ensure adherence with compliance norms and requirements and handling entire listing procedure.

Further Issue - QIP/Bonus/Right Issue/Preferential Allotment

- Collect and scrutinize documents from listed company as per checklist to ensure adherence with compliance norms and requirements.

Quarterly compliance -

- Collect and scrutinize documents from listed company as per checklist to ensure adherence with compliance norms and requirements.

- Seek clarifications from listed companies wherever necessary during the process of scrutiny of documents.

- Re-check for documents consistency submitted by companies to ensure adherence to compliance requirements.

- Update system with relevant details related to specific quarterly compliance requirements.

a. For financial results, upload records on NSE website and share details with Trade team to be communicated to market in general

b. For corporate actions, collect Ex-Date calculated by Clearing team, and give effect to specific corporate action on the Ex-Date calculated in the system.

- Issue approval notes, non-compliance letters and show cause letters to listed companies as per specified guidelines.

On-going compliance, announcements

- Examine and check all on-going compliance documents for eligibility as per listing agreement.

- Upload documents and information to the NSE website for investors and general public at large.

Miscellaneous activities-
 
- Execute the process of Name change / Symbol Change of Listed companies on the Exchange

- Execute and monitor the process of Sub-division / Face value split

- Execute and monitor the process of Suspension & revocation of mutual funds

Data Request-

- Working on various Data Request by SEBI, MoF, other department etc.

- Various Data Analysis.