Job description :

Capital raising:

1. Activities relating to capital raising under various modes such as public issue, fast track rights issues, QIP, preferential issue, ADRs, GDRs etc.

2. Preparation and drafting of Offer documents, resolutions, agreements, various correspondences, filing of listing application to stock exchanges, filing of Corporate Actions, payment of stamp duties and ROC filings.

- Issuance and servicing of Bonds, Green Bonds, MTN, NCDs

3. Activities relating to issue and listing of Debt securities such as preparation of offer documents, filing of listing application to stock exchanges, filing of Corporate Actions, payment of stamp duties and ROC filings.

4. Activities and compliance related to interest payments and redemption of debentures, preparation of Annual Interest payment Schedule,

5. Preparing half-yearly / Quarterly reports for submission to Debenture Trustees as required under SEBI Listing Regulation and disclosures in Annual Report.

6. Preparing the SOP to facilitate automation of Debt Securities portfolio.

ESOP -

7. Activities related to issue, allotment and listing of shares under ESOS and administration of compliance.

8. Administering ESOP Corporate Action. Updation of Employees details (At Registrar & Share Transfer Agent / ESOP Direct / Axis Direct) and Preparing Listing application for NSE & BSE and uploading the soft copy of the same on NSE portal

9. Ensuring correct information relating to ESOP is made available for disclosures in the Annual Report & other documents.

Regulatory/ Statutory Filings / Data processing -

10. Co-ordination with Registrar and Share Transfer Agent, Depositories, Stock exchange, regulators, MCA with respect to issue, allotment, listing of securities.

11. Filing of prescribed forms with MCA/ RBI/ FIPB/ CCEA/ SEBI/ Stock Exchanges, under the relevant provisions of the Companies Act, 2013 & Rules, Listing Agreement, SEBI Act, 2000 & Rules, Banking Regulation Act, 1949 and Guidelines issued by the RBI in this regard.

12. Ensuring compliance with Listing Obligations, SEBI Insider trading norms and SEBI Takeover regulations

13. To prepare weekly Shareholding MIS and report on change in shareholding. To analyze shareholding/change in shareholding and present the same to the management.

14. Processing of data requests received from Internal Departments / SEBI / RBI relating to Insider trading regulations, shareholding etc.

Insider Trading -

15. Activities relating to administration of compliance and monitoring of dealings in securities of the Bank by employees/ directors of the Bank/Subsidiary companies, under Insider Trading norms.

16. Ensure timely enforcement of the Code on matters relating to pre clearance, contra trades, violations, etc. and timely submission of report to Management.

17. Review Code, correspondence and FAQs from a regulatory, enforcement and governance perspective.

Annual General Meeting -

18. Attending to all regulatory and administrative issues relating to conduct of AGM/ EGM/ Postal Ballot of the Bank, in consultation with Karvy, concerned departments and other intermediaries.

19. Coordinating with Karvy/ Registered Office on matters relating to conduct of AGM/Postal Ballot/ Investors Relations.

20. Formulate initiatives to further reduce quantum of unclaimed shares/ dividends & to provide effective services to investors

Dividend -

21. Activities relating to payment of Dividend.

22. Compliance and activities relating to transfer of unclaimed dividend / shares to IEPF Authority.

23. Servicing of dividend in coordination with RTA and Bank.

Investor Services -

24. Review/ address complaints/ queries of shareholders/regulators/SCORES/stock exchanges in coordination with Karvy/Branch/Department.

25. Coordinating with SEBI/ MCA/ Stock Exchanges on investor queries/complaints

Desired profile of the candidate :

- 10 to 12 years experience in securities market operations.

- Qualifications: B.Com with any post-graduation qualification, LL.B, Certification course in Capital market is preferable.

- Core Skill Set: Securities Law compliances, Excellent Microsoft Office skills, including Excel, Word and Power Point.

- Additional Skill sets: Good understating of risk and mitigate controls, Good communication and presentation skills, interpersonal skills, pro-activeness, drafting and data analytical skills and eye for detail.

- Language: Proficiency in English - Read, Write and Speak, Hindi and Marathi- Speak.

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