Deputy Manager

To ensure timely dissemination of announcements by listed corporate. To support the function in maintaining/ ensuring quarterly and on-going compliance of listed companies and initiate necessary action (suspension, de-listing) in case of non-compliance / maturity of securities. To build relationship with listed companies and mutual funds. To keep self-updated on the developments/ changes in rules, regulations, circular and notification by regulatory bodies and update the listed corporate as well about the same.

Collect and scrutinize documents from listed company as per checklist to ensure adherence with compliance norms and requirements.

Seek clarifications from listed companies wherever necessary during the process of scrutiny of documents.

Re-check for documents consistency submitted by companies to ensure adherence to compliance requirements.

Update system with relevant details related to specific quarterly compliance requirements.

For financial results, upload records on NSE website and share details with Trade team to be communicated to market in general.

For corporate actions, collect Ex-Date calculated by Clearing team, and give effect to specific corporate action on the Ex-Date calculated in the system.

Issue approval notes, non-compliance letters and show cause letters to listed companies as per specified guidelines.

On-going compliance announcements:

Examine and check all on-going compliance documents for eligibility as per listing agreement.

Upload documents and information to the NSE website for investors and general public at large.

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Suspension and Revocation of suspension:

Coordinate and organise waiver committee meetings.

Levy the fine, promoter freezing etc as per SEBI circular

Send out second show cause or suspension letter as per defined timelines to inform companies, basis decision of screening committee,

Create approval note as per the formats provided initiate process of suspension / revocation of suspension of listed companies.

Create IOM to inform Trade department to initiate suspension process on identified listed company.

Check and monitor suspended company’s compliance on all clauses for 2 quarters and recommend revocation of suspension wherever required.

Receive and upload application for delisting to NSE website.

Collect and scrutinize all documents required in the de-listing process as per checklist

Seek clarifications from the listed company during scrutiny of documents.

Re-check for documents consistency submitted by companies to ensure compliance with de-listing requirements

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Draft approval notes to initiate de-listing process.

Execute the process of Name change / Symbol Change of Listed companies on the Exchange

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Execute and monitor the process of Sub-division / Face value split

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Execute and monitor the process of Suspension & revocation of mutual funds

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Execute and monitor the process SOP Fines

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Any other activity as deemed to fit

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XBRL development

Job Specification 

CS - 1 to 4 years for DM; LLB, Additional qualification in capital markets

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Knowledge of the Listing agreement and statutes applicable to the compliance function

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Knowledge of SEBI regulations and LODR