Company: Financial Services Company with exposure in Broking (mainly Institutional) / Depository / PMS / Research Role: Secretarial (Company Secretary) and Regulatory Compliances Role Objective: Focus primarily on Handling ROC Matters and Applicable SEBI / RBI Compliances across various activities. Role Summary: - Designation: Company Secretary - Reporting to : MD, CFO, Compliance Officer and Board - Location: Mumbai (Andheri East) Key Responsibilities: - Responsible for secretarial work: Board / Board Committee Meetings and General Meetings - Compliances under Companies Act (ROC), SEBI (Stock Broking, Depository Participant, PMS, Research), BSE, NSE, NSDL, RBI and ensure that there is no regulatory non-compliance / observation made during inspection - Co-ordination with Statutory and Regulatory Authorities (ROC, RBI, SEBI, MCA) including handling Regulatory Audits and Inspections - e-Filings - Co-ordination with PCS for Secretarial Audit - Updation of Statutory registers and records - Handle Empanelment Documentation for Institutional broking clients. - Actively involved in the Tracking, interpretation, and end to end implementation of circulars and regulations issued by the Exchanges, Depositories & SEBI and communicating the same to relevant teams with actionable. - Manage and Independently handle all stock broking related routine compliances - Ensure all periodic and ad-hoc regulatory filings are submitted correctly and in time - Give inputs on Surveillance Alerts monitoring and implementation of Anti Money Laundering (AML) Policy - Conduct compliance testing of areas that pose high regulatory risks - dealing room checks, insider trading / front running checks, record maintenance, etc. - Streamline and improve existing compliance and operational processes - Draft, revise and keep updated the internal and mandated regulatory policies - Any other work related to secretarial/compliance matters as may be assigned Qualifications, skills & experience: - Company Secretary - Experience: 2+ years in capital markets - Good knowledge of applicable SEBI regulations and related compliances - Liaison with external agencies, viz., Stock Exchanges, Depositories, SEBI, etc. - Should be able to articulate the queries well and provide satisfactory solutions to business while ensuring compliance with applicable regulations - Good communication skills and Team Management - Multi-tasking, while being able to manage time and priorities

Mumbai

Indsec - Company Secretary & Compliance Role 

Indsec - Company Secretary & Compliance Role  ,Job Description for Indsec - Company Secretary & Compliance Role  in Indsec in  Mumbai for (2-10) years of experience. Apply Now!

Job Description for Indsec - Company Secretary & Compliance Role  in Indsec in  Mumbai for (2-10) years of experience. Apply Now!