0.0 - 2.0 years

0 Lacs

Mumbai, Mumbai Suburban, Navi Mumbai

Work from Office

We are looking for a detail-oriented Audit Executive to join our Compliance & Documentation team. The candidate will be responsible for conducting audits on transactional, regulatory, documentation, ERP, and DLT processes, ensuring full adherence to SEBI regulations, Companies Act, and internal policies. Role & responsibilities: A. Transactional Audit Verify execution of all required documents for debt transactions. Check condition precedent documentation and timelines. Ensure Due Diligence Agreements (DTA) and certificates from empaneled professionals (CA, CS, Advocates, Valuers) are in place. Confirm In-Principle approval from the Stock Exchange and creation of securities within regulatory timelines. Check issuance of Due Diligence certificates (Annexure A & B) and their timelines. Validate execution of Debenture Trust Deed (DTD), receipt of ISIN letters, GID/KID availability, listing applications and approvals. B. Regulatory Audit Confirm all procedures for listed transactions comply with SEBI, Companies Act, and other regulatory frameworks. Review Preliminary Information Questionnaire (PIQ). C. Document Audit Review documentation for completeness: Proper signatures and stamps Blanks filled and counter-signed Proper dating and custody of originals D. ERP Audit Ensure proper execution and upload of documents into the ERP system. Validate accurate data entry including execution dates. E. DLT Audit Confirm necessary entries on the DLT platform by Issuers and Trustees. Check covenant entries and cash flow schedule compliance. Review deviation approvals (if Due Diligence is not issued via DLT). Verify SEBI has been informed in cases of issuer non-compliance. Preferred candidate profile: Good knowledge of SEBI regulations and Companies Act Familiarity with documentation and listing processes in capital markets Attention to detail and strong documentation audit skills Proficiency in MS Office and ERP systems Experience with DLT platform (preferred but not mandatory)

Posted 1 month ago

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