Company Secretary and Compliance Officer

Job Description

Key Responsibilities: Ensure compliance with the Companies Act, SEBI, RBI, and other relevant regulatory frameworks governing the financial services industry. Manage corporate governance, regulatory filings, and compliance reporting for Mintcap Enterprises and its subsidiaries. Liaise with SEBI, RBI, stock exchanges, and depositories for licensing, approvals, and regulatory submissions. Oversee the preparation and filing of statutory documents, board resolutions, and annual returns. Guide the management team on legal and regulatory requirements, ensuring adherence to industry best practices. Monitor and implement compliance processes for discount broking operations, depository participant services, and mutual fund distribution. Assist in obtaining and maintaining the RBI Account Aggregator License and other relevant future licenses. Develop and implement risk management strategies, ensuring timely audits and regulatory inspections. Organize and conduct board meetings, annual general meetings (AGMs), and committee meetings while maintaining accurate records. Stay updated with amendments in laws and regulations affecting the stockbroking and financial services industry. Requirements: Qualified Company Secretary (CS) with 7-8 years of relevant experience. In-depth knowledge of the Companies Act, SEBI, RBI, and other financial sector regulations. Prior experience in a discount broking firm or financial services company is highly preferred. Strong understanding of compliance requirements for stockbroking, mutual funds, and depository participants. Excellent communication and stakeholder management skills. Detail-oriented with strong analytical and problem-solving abilities. Ability to work in a fast-paced startup environment and manage multiple priorities.