IDBI Trustee - Senior Role - Compliance - CS/LLB

Senior Role - Compliance : 12+ years of experience

1. Managing and reviewing submission of various reports (monthly, quarterly, half yearly, annually) submitted by clients within regulatory timelines and identifying breaches/ violations of regulatory and statutory provisions.

2. Ensure full compliance with SEBI (DT), SEBI (ILNCS), SEBI (LODR) and other applicable SEBI regulations to trusteeship business.

3. Monitor regulatory developments and assess their impact on business operations.

4. Lead the preparation and submission of periodic filings and disclosures to SEBI, Stock Exchanges, Credit Rating Agencies and Depositories within regulatory timelines.

5. Develop and maintain internal compliance policies and procedures aligned with regulatory expectations.

6. Liaise with regulatory bodies, auditors, and internal stakeholders to ensure timely resolution of compliance matters.

7. Monitoring and reviewing compliances of various day to day transactions.

8. Attending calls with clients on providing clarifications on compliance related matters.

9. Adhering the compliance requirement as per the Standard Operating procedures.

10. Monitoring of NeSL filings, default monitoring, and updating on NSDL portal.

11. Covenant identification from transaction documents.

12. Monitoring of revision of credit rating of existing client and uploading in website.

13. Attending SEBI meetings, coordinating with SEBI officials as and when required.

14. Assisting HOD with necessary inputs regarding compliance matters.

JOB SPECIFICATION

1. Well versed with following regulations -

i) SEBI (Debenture Trustees) Regulations, 1993

ii) SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015

iii) SEBI (Issue and Listing of Non-Convertible Securities) Regulations 2021

iv) SEBI (Alternative Investment Funds) Regulations 2012

v) SEBI (Infrastructure Investment Trusts) Regulations, 2014

vi) SEBI (Real Estate Investment Trusts) Regulations, 2014

2. Well versed in all kinds of security creation as well as Security Trustee transactions.

3. Well versed in Provisions and applicability of various SEBI circulars and Master Circulars.

4. Capable of independently responding to regulator for statutory and regulatory requirements.

Qualifications & Skills:

- Bachelor's degree in Law, Finance, or related field; CS or LLB preferred.

- NISM Series-III-A: Securities Intermediaries Compliance (Non-Fund) Certification

- Managing and guiding a team of 6-7 professionally qualified employees