SBI-SG Global Securities Services Pvt. Ltd is a joint venture between State Bank of India & Societe General Securities Services. We are scouting of talent in Secretarial and compliance team. The JD is mentioned below: Qualification - Company Secretary LLB would be an added advantage PROFILE / JD - COMPLIANCE - Thorough understanding and knowledge of SEBI FPI Regulations, Operating guidelines, SEBI (Custodian of Securities) Regulations, RBI Debt and RBI non-debt Rules. - Conducting enhanced due diligence and PMLA checks while onboarding FPI and FDI clients and ensure that the investment structure is in line with the Regulatory framework. - Verification of client documentation / due diligence prior to onboarding as per the Company Policy. - Review verification and up-dation of SOPs/Policies / processes pertaining FPI/FDI client onboarding, DDP and other compliance policies / processes including PMLA - Review / interpretation and implementation of various regulatory circulars, guidelines, developments and dissemination of the same in a timely manner along with its impact to the clients and businesses. - Attending to regulatory inspections and internal audits pertaining to client on-boarding, DDP and Custodian functions - Ensure timely submission of periodic reports for DP, Custody and DDP activities to SEBI, NSDL and other authorities. - Engaging with client / sales team / product team on queries relating to new products / client registration / renewal / Re-KYC / modification etc. - Handling and updating of NSDL DDP portal for client registration / renewal / modification / surrender and transition cases. - Provide support / assistance for various ad hoc queries / requirements of SEBI. - Database / MIS / Record maintenance pertaining to FPI clients. PROFILE / JD - SECRETARIAL - Handling regular periodic compliances private companies and other event-based compliances, including - Coordinating with internal teams for the Board & Committee Meetings, preparation of Minutes and recordings. - Liaising with various security market intermediaries like RTAs, Stock Exchanges, SEBI, Depositories, Depository Participants etc. - Drafting of Annual Declaration and documents to be obtained from Directors at the time of appointment/re-appointment/annual declaration. - Change in directors documentation for approval by NSE and documentation for intimation to SEBI, BSE, NSDL and CDSL. - Preparation of Directors report, MDA, Corporate Governance Report, CSR reports, Tracking payment of dividend. - Respond to availability of data/information wrt Observation in Secretarial Audit & Regulatory Audits /Inspection

Mumbai

SBI-SG Global Securities Services - Senior Manager - Secretarial & Compliance - LLB 

Job Description for SBI-SG Global Securities Services - Senior Manager - Secretarial & Compliance - LLB  in SBI-SG Global Securities Services Pvt Ltd in  Mumbai for (10-15) years of experience. Apply Now!