Deputy Manager

 To ensure timely monitor the compliances of listed corporate. To support the function in maintaining/ensuring quarterly and on-going compliance of listed companies and initiate necessary action (suspension/as per SEBI Regulation/Circulars) 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.

1.        Quarterly & on-going Compliance, announcements:

• All monitor all companies’ compliance.

• 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.
• a.   For financial results, upload records on NSE website and share details with Trade team to be communicated to market in general
• b. Issue approval notes, non-compliance letters and show cause letters to listed companies as per specified guidelines.
• Oversee the quarterly and on-going compliance process and resolve cases escalated by AM through interaction with the Listed Company for clarification of issues
• Scrutinize, approve and forward documents collected from Listed companies for compliance purposes.
• Oversee the timely dissemination of announcements

2.        SOP:

• Prepare and forward list of non-compliant companies action as per SEBI SOP circular
• 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.
• Attend penalty waiver committee meetings; record and circulate the minutes of the meeting to committee members for future record
• Prepare approval note and forward for final approval to initiate necessary action.
• Examine the compliance of suspended companies and further recommends for revocation on compliance

3.        Miscellaneous activities:

• Prepare periodic reports 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.
• Execute the process of Name change / Symbol Change of Listed companies on the Exchange
• Execute and monitor the process of Sub-division / Face value split
• Execute and monitor  the process of Suspension & revocation of mutual funds
• Execute and monitor the process SOP Fines
• Any other activity as deemed to fit