Executive – Compliance & Secretarial

Job Description

Job Responsibilities : Ensure full compliance with the Companies Act, 2013 and timely filings with the Registrar of Companies (RoC) (e.g., MGT-7, AOC-4, ADT-1, PAS-3). Conduct and document Board Meetings, AGMs, and EGMs, including agenda preparation, minutes, resolutions, and statutory registers. Manage corporate records, shareholding patterns, and equity-related activities. Handle company-wide compliance with SEBI, RBI, MCA, and other relevant regulators. Stay updated with applicable regulations, including SEBI (Investment Advisers) Regulations, FEMA, and ensure that company policies align with the latest directives. Coordinate with legal counsel and external consultants to manage licensing and inspections. File required returns and disclosures with regulatory bodies on time. Monitor research content, investment advice, and communication to ensure compliance with SEBI (RA & IA) guidelines. Track compliance with client documentation – KYC, risk profiling, agreements, and suitability records. Support internal training and awareness on RA/IA regulatory requirements. Educational Qualification: Qualified or Semi-qualified Company Secretary from ICSI Experience and skills: 1 - 2 years of experience Strong knowledge of corporate laws, SEBI regulations, and secretarial standards Show more Show less