Lead - SEBI Compliance Officer | Mumbai | Top Listed Company

Experience: 4-10 Years

Location: Mumbai

Industry: Top Listed Company (Manufacturing / Diversified Conglomerate)

Department: Secretarial & SEBI Compliance

Job Purpose:

Compliances form the backbone of corporate governance. In today's dynamic regulatory environment, compliance is not just a requirement but a strategic imperative. The role of the Lead SEBI Compliance Officer is crucial in ensuring the company's adherence to SEBI (LODR), PIT, FEMA, RBI, and other key regulatory frameworks - fostering transparency, investor confidence, and corporate credibility.

Key Responsibilities:

1. SEBI (LODR) Compliances, 2015

- Ensure timely and accurate compliance with all SEBI (LODR) requirements.

- Monitor, interpret, and implement SEBI circulars, amendments, and consultation papers.

- Educate senior management on key regulatory updates.

Manage filings and reports such as:

- Quarterly Shareholding Pattern, Corporate Governance Report, Financial Results

- Related Party Transaction (RPT) reporting

- Submission of Annual Report, BRSR, AGM/Board notices, and shareholder grievance reports

- Oversee digitalization of RPT reporting through Hyperion or similar compliance tools.

2. SEBI (Prohibition of Insider Trading) Regulations, 2015 (PIT Regulations)

- Manage and update the Designated Persons (DP) list (650+ employees).

- Maintain Structural Digital Database (SDD) for UPSI tracking and reporting.

- Ensure timely disclosures, pre-clearances, and window closure notices.

- Conduct employee training and awareness programs on insider trading regulations.

3. Employee Stock Option Scheme (ESOP) Compliances

- Coordinate with GHR, law firms, and finance for grant, exercise, and allotment of ESOP shares.

- Ensure compliance with SEBI ESOP guidelines and obtain PCS certification.

- Handle listing of newly issued shares and quarterly updates to stakeholders.

4. RBI & FEMA Compliances (for Foreign Subsidiaries)

- Ensure timely filing of Annual Performance Reports and Asset-Liability statements with RBI.

- Handle approvals and reporting for equity remittances and overseas investments.

- Liaise with AD Banks, consultants, and regulatory authorities for FEMA-related matters.

5. Due Diligence Reports (RBI Circulars)

- Coordinate with Practicing Company Secretary (PCS) for preparation and certification of Due Diligence Reports for consortium loans.

6. Loans, Debentures & Commercial Paper (CP) Issuance

- Manage loan documentation, charge registration (CHG-1/CHG-4), and covenant compliance.

- Coordinate with NSDL/CDSL and NSE for ISIN creation and listing of CP/Debentures.

7. Corporate Governance & Shareholder Information

- Prepare and review Corporate Governance Report and Director's Report.

- Ensure compliance under Companies Act, SEBI LODR, and ESOP regulations.

- Liaise with statutory auditors for governance certification.

8. Electoral Bond Compliance

- Coordinate with SBI for documentation and issuance of electoral bonds in line with regulatory norms.

Candidate Profile:

Qualification: CS (Mandatory); LLB preferred

Experience:

- 4-10 years in SEBI Compliance / Secretarial Department of a Top 100 Listed Company

Skills:

- Strong knowledge of SEBI (LODR), PIT, ESOP, FEMA, and RBI regulations; Excellent coordination, documentation, and reporting skills; exposure to digital compliance tools preferred.

Why Join:

- Opportunity to lead SEBI Compliance in a large, reputed listed organization.

- Exposure to complex compliance functions at a global scale.

- Collaborative, learning-oriented work environment with strong governance culture.