Compliance Manager - SEBI & Stock Exchange

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- UPSI Control: Maintain data to track Unpublished Price Sensitive Information.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.