Officer - Surveillance

Position

Location

Qualification

Age Limit

Officer - Surveillance

Mumbai

Graduate

Up to 25 Years

Qualification & Experience:

- Minimum 1-2 years in surveillance functions in Stock Exchanges, Brokerage Houses
- Conversant with Depository operations
- Positive communication skills.
- Proficient in Microsoft Excel, Word

Skill Set Required:

- Knowledge of regulatory requirements
- Knowledge of PMLA Regulations
- Proficient in Microsoft Excel, Word and PPT Teamwork.

Job Description:

- Working on various alerts generated by system.
- Co-ordinating with DPs.
- Preparation of reports on alerts processed.
- STR Reporting
- Testing of Software

Current CTC and Expected CTC to be mentioned clearly . Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Asst. Manager / Dy. Manager - Surveillance

Position

Location

Qualification

Age Limit

Asst. Manager / Deputy Manager

Mumbai

Graduate / Post Graduate

Up to 35 Years

Qualification & Experience:

- Minimum 5 - 8 years in surveillance functions in Stock Exchanges, Brokerage Houses
- Conversant with Depository operations
- Good communication skills.
- Proficient in Microsoft Excel, Word

Skill Set Required:

- Knowledge of regulatory requirements / PMLA regulations.
- Proficient in Microsoft Excel, Word and PPT Teamwork.

Job Description:

- Working on various alerts generated by system.
- Co-ordinating with DPs.
- Preparation of reports on alerts processed.
- STR Reporting
- Preparation of MIS for Management
- Enhancement of surveillance software

Current CTC and Expected CTC to be mentioned clearly . Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Assistant Manager / Deputy Manager – Admission Cell (Location- Hyderabad)

Position

Location

Qualification

Age Limit

Asst. Manager / Deputy Manager

Hyderabad

Graduate/Postgraduate/MBA

30 Yrs.

Qualification & Experience:

- Minimum 5-10 years work experience in Capital markets preferably in depository related operations, Market Infrastructure Institutions (MIIs) etc.
- Should be a Graduate / Post Graduate / MBA.
- Well conversant with depository operations.

Skill Set Required:

- Good analytical and verbal & written Communication skills.
- Ability to multi-task, set priorities and manage time effectively.
- Teamwork and Collaboration.

Job Description:

- Responsible for the day-to-day activities related to admission of issuer companies and subsequent applications in the Admission Cell.
- Co-ordinating with RTAs / Issuer Companies / Exchanges / market participants and other departments in the organisation.
- Preparing various reports / MIS to be submitted to senior management.

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Assistant Vice President (Secretarial Department)

Position

Location

Qualification

Age Limit

Assistant Vice President (Secretarial Department)

Mumbai

Qualified Company Secretary

40

Experience - Assistant Vice President (No of positions - 1): 10-12 years of experience in handling the Secretarial matters of listed companies. Preference will be given to candidates with prior experience in listed companies Skills Preferred:

- Extensive knowledge of corporate law, governance, and compliance.
- Experience in a similar role within a corporate environment.
- Excellent communication, organizational, and time management skills.
- Ability to handle confidential information with discretion.
- Strong understanding of corporate governance principles.
- Proficiency in legal and regulatory requirements related to corporate compliance.
- Excellent drafting and communication skills.
- Attention to detail and high level of accuracy.
- Ability to work independently and as part of a team.

Job Description:
1. Corporate Governance:

- Advise the Board on corporate governance practices and ensure compliance with corporate governance codes.




- Organize and prepare agendas for Board and committee meetings, including the Annual General Meeting (AGM).
- Prepare and distribute minutes of meetings and follow up on actions arising from meetings.
- Ensure that the company's policies and procedures comply with statutory and regulatory requirements.
- Facilitate communication between the Board, shareholders, and other stakeholders.
- Provide legal advice to the Board and senior management on corporate law matters.

2. Regulatory Compliance:

- Ensure that the company complies with all applicable laws and regulations.
- File statutory documents, such as annual returns, with the MCA
- Maintain statutory registers, including the register of members, directors, and secretaries.
- Liaise with external regulators and advisers, such as lawyers and auditors.

3. Shareholder Relations:

- Ensure that dividends are paid and share transactions are conducted in accordance with legal requirements.
- Maintain good relationships with shareholders, including responding to inquiries and providing information as required.

4. Record Keeping and Documentation:

- Maintain accurate records of the company?s activities, decisions, and correspondence.
- Ensure that the company?s statutory books and records are up-to-date.
- Safeguard the company?s documents, including its Memorandum and Articles of Association.

5. Advisory Role:

- Act as the point of contact for the Board of Directors for any governance, compliance, and legal matters.
- Keep the Board informed about developments in corporate law and best practices.
- Provide support in the strategic planning process and contribute to the development of corporate strategy.

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Assistant Manager / Deputy Manager – Data Mining

Position

Location

Qualification

Age Limit

Assistant Manager / Deputy Manager – Data Mining

Mumbai

Graduate / Postgraduate

Up to 30 years

Skills Preferred:

- Minimum 4-5 years in surveillance functions in Stock Exchanges, Brokerage Houses.
- Knowledge of regulatory compliance / Foreign Investment by Listed Companies.
- Conversant with Depository operations.
- Good communication skills.
- Proficient in Microsoft Excel and Word.

Job Description:

- Study of regulatory circulars, orders.
- Taking actions on regulatory orders / advisory received from various regulators.
- Working on Foreign Investment Monitoring by Listed Companies.
- Working in shifts may be required

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Officer / Asst. Manager / Deputy Manager - Admission Cell

Position

Location

Qualification

Age Limit

Officer / Asst. Manager / Deputy Manager

Mumbai

Graduate/Postgraduate/MBA

30 Yrs.

Experience & Role:

- Minimum 5-10 years work experience in Capital markets preferably in depository related operations, Market Infrastructure Institutions (MIIs) etc.

- Well conversant with depository operations. Good analytical and verbal & written Communication skills.

- Ability to multi-task, set priorities and manage time effectively.

Job Description :

- Responsible for the day-to-day activities related to admission of issuer companies and subsequent applications in the Admission Cell.

- Co-ordinating with RTAs / Issuer Companies / Exchanges / market participants and other departments in the organisation.

- Preparing various reports / MIS to be submitted to senior management.

Current CTC and Expected CTC to be mentioned clearly
Please email your resume,



mentioning the position applied for in the subject column at :[email protected]

Officer – Data Mining

Position

Location

Qualification

Age Limit

Officer

Hyderabad

Graduate / Post Graduate

Upto 30 yrs

Qualification & Experience:

- Minimum 1-2 years in surveillance functions in Stock Exchanges, Brokerage Houses,

- Knowledge of regulatory compliance / Foreign Investment by Listed Companies.

- Conversant with Depository operations

- Valuable communication skills.

- Proficient in Microsoft Excel, Word.

- Working in shifts may be required

Skill Set Required:

- Knowledge of regulatory requirements

- Proficient in Microsoft Excel, Word and PPT Teamwork

Job Description:

- Study of regulatory circulars, orders.

- Taking actions on regulatory orders / advisory received from various regulators

- Working on Foreign Investment Monitoring by Listed Companies.

Please email your resume, mentioning the position applied for in the subject column at :[email protected]

Officer/Assistant Manager – Audit & Inspection

Position

Location

Qualification

Age Limit

Officer/Assistant Manager – Audit & Inspection

Corporate office, Mumbai

Bachelor’s degree

NA

Experience / Role :

- Prior experience of Audit & Inspection, preferably in securities/ commodity industry and warehousing / exchanges/ clearing corporations. Minimum 3 years’ experience needed in relevant field.

- Strong communication skills and proficiency in Word, Excel, Outlook, and PowerPoint.

- Ability to understand and comprehend contents of agreement, balance sheet, annual report, legal notice etc.

- Ability to manage complex projects and multi-task.

- Ability to flourish with minimal guidance and be proactive.

- High level of integrity and honesty is desired with a commitment to achieve management objectives.

Job Description :
Audit and Inspection of Repository participant (RP)

- Ensure compliance with established internal control procedures by examining records, reports, operating processes and documentation.

- Completes audit workpapers by documenting audit and findings

- To check adequacy of internal control systems by completing audit questionnaires.

- Communicate audit findings by preparing a report; discussing findings with auditees.

- Contribute/ coordinate with internal operations team on related results as needed.

- Ensure necessary documents / information as prescribed by CCRL are collected from different types of Client/Depositor for recent account, modification, change in address, change in signature, change in name etc.; Signatures are appropriately scanned and uploaded.

- The Tariff Sheet has been signed by the Client/Depositor at the time of account opening.

- Rights and Obligations is signed by depositor/ client and RP is keeping it in records.

- Deposit requests are processed as per the prescribed procedure.

- Instructions from Client/Depositor are executed only on the basis of duly signed instruction slips or electronic instructions.

- The instruction slips are checked and verified by two officials (maker-checker) separately for the correctness and signatures.

- 30 days’ notice is given to the Client/Depositor before closing his account, in case account closure is initiated by RP.

- All formats used by the RP are in conformity with CCRL’s prescribed format.

- Indictments or any other orders passed against the RP by any competent authority, if any, is notified to CCRL within 7 days of passing such order.

- The Compliance Officer appointed by the RPs for the main RP office. The details of the compliance officer/ authorised signatories/ office address and change if any is informed by RP to CCRL.

- RP follows maker-checker concept in all of its activities to ensure the accuracy of the data and as a mechanism to check unauthorised transaction.

Current CTC and Expected CTC to be mentioned clearly Deserving candidates fulfilling this criteria need to apply with subject title as CCRL
Please email your resume, mentioning the position applied for in the subject column at : [email protected]

📌 Regulatory (India)
🏢 CDSL
📍 India