Manager - Listing Compliance - BFSI

Job Description :

- Quarterly & on-going Compliance, announcements : Oversee the quarterly and on-going compliance process and resolve cases escalated by AM through interaction with the Listed Company for clarification of issues. Processing of Further Issue applications i.e ESOPs, Bonus, Examine the compliance of suspended recommends for revocation to HOD.

- Suspension & Revocation : Prepare and forward list of non-compliant companies & agenda to screening committee to initiate suspension or revocation process. Coordinate with members of screening committee to finalise meeting date. Prepare approval note & forward final approval to HOD to initiate necessary action.

- Delisting : Approve all documents collected and scrutinized by AM and forward to HOD to initiate delisiting process .

- Miscellaneous Activities : Prepare compliance status report in specified format to share with SEBI as per agreed timelines.

To maintain relationship with Listed companies through frequent visits and meetings with senior leadership.

Prepare agenda for executive committee and board meetings.

Improve the service standards for various process

Prepare new process maps and update the existing ones

Prepare MIS & monthly reports for SEBI & other agencies.

Ensure adhoc data requests by SEBI & external agencies, Ministry of Finance, Income Tax, SFIO and Legal are responded in a timely and proper manner.

Monitor SEBI, Ministry of Finance, RBI websites to identify new guidelines & policy level changes.

- Process Management and Process Performance : Track / suggest and implement changes to processes so as to improve / enhance processes, drive innovation.