We are seeking a qualified and diligent Senior Executive – Company Secretary to support the organization in ensuring compliance with corporate, statutory, and regulatory requirements within a stock broking and financial services environment. The role offers exposure to Portfolio Management Services (PMS), Alternative Investment Funds (AIF), Research Analyst (RA), and Registered Investment Adviser (RIA) regulatory frameworks and is responsible for assisting in governance, secretarial compliances, SEBI regulations, and corporate law matters.
The incumbent will work closely with internal stakeholders, regulators, trustees, auditors, and compliance teams to ensure timely adherence to applicable laws, regulations, and governance standards.
Key ResponsibilitiesCorporate Secretarial & Governance
- Assist in conducting Board Meetings, Committee Meetings, Annual General Meetings (AGMs), and Extraordinary General Meetings (EGMs).
- Prepare agendas, notices, minutes, resolutions, and related secretarial documentation.
- Maintain statutory registers, records, and corporate documents as required under the Companies Act, 2013.
- Ensure timely filings and submissions with the Registrar of Companies (ROC), Ministry of Corporate Affairs (MCA), and other regulatory authorities.
- Support implementation of corporate governance best practices across the organization.
Regulatory & Compliance Management
- Monitor and ensure compliance with applicable provisions of:
- Companies Act, 2013
- SEBI Regulations
- Stock Exchange requirements
- Depository regulations
- Other applicable financial sector regulations
- Track regulatory changes and assess their impact on business operations.
- Coordinate with compliance teams for regulatory reporting, inspections, and audits.
PMS, AIF, RA & RIA Compliance Exposure
- Support compliance activities pertaining to:
- Portfolio Management Services (PMS)
- Alternative Investment Funds (AIF)
- Research Analyst (RA) Regulations
- Registered Investment Adviser (RIA) Regulations
- Assist in regulatory filings, disclosures, reporting, and maintenance of records under SEBI regulations.
- Coordinate with operations, legal, compliance, and business teams to ensure adherence to regulatory obligations.
- Support periodic certifications, due diligence requirements, and inspection preparedness.
Stock Broking Compliance Support
- Assist in compliance monitoring relating to stock broking operations.
- Support exchange-related reporting and regulatory submissions.
- Coordinate during audits conducted by SEBI, stock exchanges, depositories, and other regulators.
- Ensure maintenance of compliance records and documentation.
Liaison & Stakeholder Coordination
- Coordinate with regulators, auditors, legal advisors, trustees, consultants, and internal stakeholders.
- Facilitate information gathering and documentation for inspections, audits, and regulatory reviews.
- Support management in compliance-related projects and strategic initiatives.
Desired Candidate ProfileEducational Qualification
- Qualified Company Secretary (ACS) or CS Professional Programme completed.
- Additional qualification in Law, Finance, or Compliance will be an added advantage.
Experience
- 2–6 years of relevant experience in Company Secretarial, Compliance, or Corporate Governance functions.
- Experience in financial services, stock broking, asset management, PMS, AIF, RIA, or capital markets industry preferred.
Technical Knowledge
- Strong knowledge of:
- Companies Act, 2013
- SEBI Regulations
- Corporate Governance practices
- Secretarial Standards
- Stock Broking regulatory framework
- Exposure to PMS, AIF, RA, and RIA regulations will be highly preferred.
Key Skills & Competencies
- Strong analytical and regulatory interpretation skills.
- Excellent drafting and documentation abilities.
- Attention to detail and high level of accuracy.
- Good stakeholder management and communication skills.
- Ability to manage multiple deadlines and work in a dynamic regulatory environment.
- Proficiency in MS Office and secretarial/compliance management tools.
Key Deliverables
- Timely completion of statutory and regulatory filings.
- Effective management of board and committee processes.
- Compliance with Companies Act, SEBI regulations, and other applicable laws.
- Timely reporting and documentation related to PMS, AIF, RA, and RIA activities.
- Successful coordination of audits, inspections, and regulatory reviews.
Preferred Industry
Stock Broking, Wealth Management, Capital Markets, Asset Management, Portfolio Management Services, Alternative Investment Funds, Investment Advisory, Financial Services.
Pay: ₹40,000.00 - ₹80,000.00 per month
Benefits:
- Leave encashment
- Life insurance
- Paid sick time
- Paid time off
- Provident Fund
Work Location: In person
