SEBI Compliance Expert

Job Responsibilities:

Implement and monitor compliance with SEBI regulations.

Administer code of conduct under PIT Regulations.

Maintain Restricted List and Structured Digital Database.

Prevent misuse of unpublished price-sensitive information (UPSI).

Manage trading windows closure when UPSI is available.

Maintain accurate compliance records.

Report to Board, stock exchanges, and depositories.

Handle investor grievances.

Investigate market malpractices.

Educate investors on securities markets.

Ensure designated persons understand UPSI responsibilities.

Analyze trades of designated persons.

Conduct due diligence for pre-clearance of trades.

Key Competencies for SEBI Compliance Expert:

Technical Knowledge

Regulatory expertise and SEBI guidelines understanding, must possess Securities market knowledge and consistently remain updated with compliance changes.

Core Skills

Analytical thinking, Problem-solving ability, Attention to detail, Risk assessment skills

Communication - Clear articulation, Interpersonal skills, Report writing, Presentation abilities.

Professional Attributes - Ethical judgment, Integrity, Confidentiality, Decision-making

Management Skills - Excellent Stakeholder management skills, Ability to Disagree and have backbone.

Technical Proficiency - Compliance software knowledge, Data analytics

Adaptability - Continuous learning and being curious around the security landscape