Associate/Manager/Sr. Manager - Compliance


Bandra East, Mumbai


Inter CS / CS


0-2 years



Skills / Position Objective / Responsibilities:
  • Prepare a compliance checklist as per the requirment of transaction.
  • Follow-up and monitor pre and post compliance and covenants periodically
  • Prepare and review various SEBI regulatory reports/submissions, internal processes/policies, and other documents and ensure compliance with the internal and external regulatory frameworks.
  • Obtain and review quarterly compliance reports (QCR) to clients
  • Monitor security cover and issue consent/NOC/PARI PASSU letters when required.
  • Work on obtaining and reviewing monthly, quarterly, half-yearly and annual certificates for listed issues
  • Review various due diligence reports from third parties such as valuation reports, CA certificates, etc
  • Coordinate with clients, vendors, and professionals as applicable
  • Ensuring timely submission of periodic compliances.
  • Time to time intimation to Stock exchange, rating agencies and depositories.
  • Issue of Due Diligence certificate through Distributed Ledger Technology
  • Prepare synopsis on circulars, guidelines, regulations issued by SEBI.
  • Work on the timely registration of change with ROC/CERSAI/NeSL.
  • Work on general compliance activities of the trustee transactions & maintain the tracker on an ongoing basis.