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

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