JOB DESCRIPTION
Executive – Compliance & Operations
(Debt & Capital Markets)
(Company Secretary – Qualified / Semi-Qualified / Pursuing)
Designation
Executive – Debt, Capital Markets & Compliance Operations
Function / Department
Corporate Finance – Debt & Equity Fund Raising / Transaction Support
Location
[Erandwane, Pune]
Reporting To
Founder / Senior Analyst
Role Type
Full-time – Individual Contributor (execution & coordination)
Qualification
Company Secretary – Qualified (ACS)
Experience
Min. 1.5 - 2 years
Compensation
[As per industry standards / experience]
About the Firm & the Role
We are a consulting firm specialising in debt and equity fund raising, corporate finance, and transaction support. We work closely with clients, banks, NBFCs, investors and legal advisors to execute end-to-end fund-raising and compliance mandates.
This role sits at the heart of our delivery team and is responsible for the operational, documentation and compliance activities that run across banking, capital markets and corporate law – from post-sanction loan documentation and charge creation to equity issuance support and ROC/MCA filings. It is an ideal opportunity for a Company Secretary candidate – whether qualified, semi-qualified, or currently pursuing the course – to gain hands-on exposure to live transactions and build a strong foundation in corporate finance and compliance.
Role Objective
To manage and execute post-sanction and post-disbursement operational activities for debt facilities (documentation, PDC compliance, mortgage/security creation and charge filings) and to support equity fund-raising and corporate-law compliance (issuance processes, statutory documents and MCA/ROC filings) – while coordinating closely with banks, clients, investors, legal counsel, valuers and internal teams.
Key Responsibilities
A.
- Liaise and follow up regularly with Banks / NBFCs / Financial Institutions and clients for execution of post-sanction documents.
- Prepare, compile and coordinate execution of documents, undertakings, declarations and forms as per sanction letters and lender requirements.
- Track and ensure compliance with all pre-disbursement conditions (PDCs), covenants and periodic compliance submissions.
- Coordinate with stakeholders to ensure timely disbursement of sanctioned limits / facilities.
- Prepare, review and follow up on loan-related documents until closure.
B.
- Support the end-to-end mortgage / security creation process for freehold and leasehold properties (including liaison with authorities such as MIDC or local authorities, where applicable).
- Coordinate with Legal Counsel for Title Search Reports (TSR), legal vetting of property documents and NOCs.
- Liaise with Valuers for property valuation reports.
- Follow up on pari-passu / charge-sharing matters between multiple lenders.
C.
- Assist in equity issuance processes – Private Placement, Rights Issue, Preferential Allotment and ESOP.
- Prepare statutory documents – Offer Letters, PAS-4, PAS-5, board / shareholder resolutions and investor documentation.
- Coordinate valuation reports and investor KYC / documentation.
- Handle MCA filings such as PAS-3, MGT-14 and SH-7, and maintain related statutory registers.
D.
- Prepare and file charge documents – CHG-1 / CHG-4 / CHG-8 – within statutory timelines and maintain charge records.
- Track approvals, acknowledgements and closures of ROC filings.
- Maintain accurate records of all statutory filings and registers.
E. Post-Disbursement & Ongoing Compliance
- Monitor and complete post-disbursement conditions as per sanction terms.
- Coordinate submission of registered mortgage documents, insurance policies and filed charge proofs.
- Follow up with banks for closure of post-disbursement observations.
F. Documentation & Repository Management
- Maintain and update the collateral, security, loan, equity and statutory document repository.
- Ensure proper filing, indexing and availability of documents for audits, due diligence and bank inspections.
- Support due-diligence exercises and data-room preparation.
G. Coordination & Client / Stakeholder Support
- Liaise with clients, bankers, investors, valuers, legal counsel and regulatory authorities.
- Collect and verify required documents from clients and third parties and ensure timely submission.
- Support internal teams (Finance, Treasury, Legal) in day-to-day transaction execution and compliance work.
Educational Qualification
Company Secretary (CS) candidates are preferred, across any of the following stages:
- Qualified – Associate Member of ICSI (ACS) / CS qualified.
Preferred / Added Advantage:
- Completed or ongoing CS Management / Practical Training, or experience with a Practising Company Secretary (PCS) firm.
Exposure to any of the following will be preferred:
- MCA & charge filings and equity issuance processes.
- Loan documentation / credit administration.
- Corporate finance or capital-markets operations / debt syndication.
- Banking / NBFC back-office, mortgage documentation, ROC filings or bank coordination.
Skills & KnowledgeTechnical / Functional
- Understanding of debt & equity issuance processes and bank sanction terms / loan documentation.
- Knowledge of MCA / ROC filings and corporate-law documentation.
- Familiarity with CHG-1 filing, charge creation / satisfaction and post-sanction compliance.
- Knowledge of property documents (freehold / leasehold preferred) and security documentation.
- Proficiency in MS Office (Word, Excel, PowerPoint), the MCA portal and digital documentation tools.
Behavioural / Soft Skills
- Strong follow-up and stakeholder-coordination ability.
- High attention to detail and documentation accuracy.
- Ability to manage timelines and multiple transactions simultaneously.
- Good written and verbal communication.
- Ownership, integrity and a willingness to learn.
What We Offer
- Hands-on exposure across debt and equity fund raising, corporate finance and transaction support.
- Direct mentorship from senior professionals and the founder.
- Opportunity to work on live transactions spanning banking, capital markets and corporate law.
- A learning-focused environment ideal for CS candidates building a career in corporate finance & compliance.
How to Apply
Interested candidates may share their updated CV at [[email protected]] with the subject line “Application – Executive (Debt, Capital Markets & Compliance)”.
Pay: ₹400,000.00 - ₹600,000.00 per year
Education:
Work Location: In person
