Assistant Manager - Listing Compliance - CA

1. 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.

2. 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.

3. Suspension and revocation of suspension

- Coordinate and organise screening committee meetings for suspension of companies.

- Send out second show cause or suspension letter as per defined timelines to inform companies, basis decision of screening committee,

- Create approval note as per the formats provided initiate process of suspension / revocation of suspension of listed companies.

- Create IOM to inform Trade department to initiate suspension process on identified listed company.

- Check and monitor suspended company's compliance on all clauses for 2 quarters and recommend revocation of suspension wherever required.

4. Delisting

- Receive and upload application for delisting to NSE website.

- Collect and scrutinize all documents required in the de-listing process as per checklist

- Seek clarifications from the listed company during scrutiny of documents

- Re-check for documents consistency submitted by companies to ensure compliance with de-listing requirements

- Draft approval notes to initiate de-listing process.

5. 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

Require a CA having 1-3 years of relevant experience