Company Secretary & Compliance Officer

About Us :

Discover a Revolution in Fintech

Established in 2020, Wint Wealth is one of India's largest online bond platforms, trusted by over 70,000+ investors. With retail investments exceeding Rs. 2000 crore, we continue to empower retail investors through accessible and secure bond investments. We are an online bond platform provider (OBPP) registered with SEBI as a debt broker. We are also a depository participant registered with SEBI.

Wint Wealth also operates its own NBFC, Wint Capital, with a current AUM of Rs. 200+ crore and an investment-grade rating from CARE. The company has successfully raised approximately Rs.150 crore from notable investors, including Eight Roads, Rainmatter (Zerodha), 3one4 Capital, and Arkam Ventures./

About the Role:

As a highly motivated and dynamic individual, you will be positioned as a Company Secretary in our debt broking entity as the compliance officer for broking operations.

You will be exposed to various secretarial, compliance and legal work, not only of broking but also of the NBFC and will work closely with the legal and compliance function (team of three others including another CS who is the compliance officer at the NBFC level). Join us in making fixed income securities accessible and comprehensible for all.

Responsibilities:

- Managing daily compliances with stock exchanges, depositories and other market intermediaries for broking, DP and related operations (including for listing of debt securities).

- Managing interactions with Inspection, surveillance, enforcement and other departments of SEBI, exchanges and depositories

- Management and co-ordination of various auditors (internal audit, cyber audit, statutory audit etc) for the mandatory compliances for broking and DP operations.

- Prepare notices, agendas, and papers for board meetings, committees, and general meetings and arrange for the meetings.

- Prepare minutes and follow up on action points suggested by Board/ Committee members in the meetings.

- Responsible for the efficient administration of a company, particularly with regard to ensuring compliance with statutory and regulatory requirements and for ensuring that decisions of the board of directors are implemented.

- Drafting of regulatory policies, charters as applicable on the company, from time to time.

- Tracking of regulatory updates and implementation of relevant statutory amendments.

- Timely filing of forms/returns, registering any document by and on behalf of the company.

- Maintenance of secretarial records, statutory books and registers.

- Compliance with respect to issue and transfer of securities.

- Regulatory correspondence, drafting letters to regulators on a requirement basis, if any.

- Assist in preparing Annual Return documents, Board's Report, etc.

- Drafting/ reviewing of standard legal agreements.

Who You Are:

Education: Qualified Company Secretary from the Institute of Company Secretaries of India.

Experience:

- You possess at least 0-2 years of working experience. Preference will be given for someone who has experience working as a compliance officer with a stock broker / debt broker or an NBFC.

- Candidates with knowledge of RBI and SEBI regulations will be preferred.

Technical Proficiency:

- Proficiency in Companies Act, 2013, RBI and SEBI regulations.

- Basic MS office skills.

Personal Mastery:

- Excellent verbal and written communication skills.

- Ability to work autonomously and manage multiple projects concurrently.

- You thrive on growth, perpetually seeking knowledge and evolution.

If you find this interesting, let's talk;

Job Type: Full-time

Pay: ₹1,000,000.00 - ₹1,500,000.00 per year

Benefits:

• Flexible schedule
• Health insurance
• Internet reimbursement
• Life insurance
• Provident Fund
• Work from home

Schedule:

• Day shift

Work Location: In person