Talent Acquisition at Talent 1st
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Assistant Vice President/Deputy Vice President - Company Secretary - Stock Broking Firm (7-10 yrs)
AVP/ Deputy - VP - Company Secretary
Position : AVP/Deputy VP - CS
Exp : 7-10 years
Location : Mumbai
Working Days - 5
About the Company :
One of India's largest full-service stock broking firms catering to retail and institutional investors across all segments of the capital market.
- Through a tie-up with partner brokers, the company also provides direct access to the US markets. Supported by a strong research team, robust digital trading platform, large branch network & franchisee base, and referral coordinators spread across Kona Kona of India.
- The company's offerings include stock broking through the branch and Internet, Investments in IPO, Equity & Derivatives, Mutual funds and Portfolio management service.
- In addition, the company distributes a range of financial products, including company fixed deposits, mutual funds, initial public offerings, secondary debt, equity, and small savings schemes. Further, it provides Internet broking services and depository services.
- 7-10 Years of experience in banking and financial sector.
- Experience in broking preferred.
Qualification : Membership of the Institute of Company Secretaries of India (ICSI) and LL.B from reputed college will be added advantage.
Job profile :
Handling the department which takes care of following activities :
- Managing entire secretarial activities for the Company and also overseeing Secretarial Function for wholly owned subsidiary of the Company which includes timely convening Board Meetings, Committee Meetings, General Meetings.
- This includes preparation and circulation of agenda, minutes, circular resolutions and taking care of various forms to be filed with Ministry of Corporate Affairs. As part of Board process, annual performance evaluation of Directors.
- Heading CSR Department of the Company. Which includes identification of project, review of project to check fitment with company's themes, discussion with NGO partners, due diligence exercise of NGOs, internal documentation as per Group standards, taking approval of Group CSR on projects and then approval of MD.
- Apprising chairman on regular basis through various meetings on the development.
- Preparing Board notes for CSR Committee and Board and presenting before the Board. Finalizing MOU with NGOs and then based on request letter received from NGOs releasing the payment.
- Preparing and reviewing annual action plans on regular basis and placing before the CSR Committee and Board for approval. Also includes various coordination activities with other departments.
- Overseeing Exchange related compliance activities for the Company and other entity which includes Networth Certificate filing, Annual Returns, Board / Director related filing of changes, PMS and other adhoc matters. Renewal of BBF, ANMI, Indemnity Insurance etc.
- Managing Employee Trading Compliance for the Company and also acting as a SPOC for all Employee Trading related queries on system, regulations and recent circulars. Updating Company policies with the latest amendments. Also updating the Trading Compliance system based on regulatory requirements. Taking care of Trading Compliance system developments, enhancements etc.
- Handling various audit requirements from Statutory Auditor, IFC Auditor, Secretarial Auditor, Related Party Transactions Audit, tax Audit, SEBI Internal Audit, Regulatory inspections related to Secretarial aspects as well as Board / Committee matters.
- Other adhoc activities like Group level RBI audit / inspection requirements, empanelment requirements, queries from group entities, providing regulatory related agreements / undertakings.
- Handling requirements from other internal stakeholders like Finance and Treasury, Legal, Customer Care, Admin, Business / Product etc for various clarifications and other requirements.
- Handling adhoc deals from business side and also from Corporate Development department (Fintech Investments) to ensure end to end smooth transition taking into account Legal, Compliance and Secretarial compliance.
- Miscellaneous - Preparing monthly compliance updates, CP listing compliances, other queries and requests handling.
Direct Reportees : 2 Employees and 1 Trainee. ( out of which 1 employee exclusively CSR resource)