Senior Role - Secretarial & Compliance - BFS

Job Description:

Secretarial & Compliance:

- Lead and manage all corporate secretarial functions of the Company.

- Ensure compliance with applicable laws including Companies Act, SEBI regulations, and other applicable statutory requirements.

- Act as a key advisor to the Board and senior management on governance, legal, and compliance matters.

- Organize Board /Committee meetings, including preparation of agendas, minutes, and follow-ups.

- Liaise with regulatory authorities such as SEBI, Stock Exchanges, and other stakeholders.

- Strengthen corporate governance practices and ensure adherence to best-in-class compliance standards.

- Manage secretarial audits, inspections, and regulatory filings.

Stockbroking Compliance Responsibilities:

- Oversee compliance with SEBI (Stock Brokers) Regulations, Exchange bye-laws, and circulars issued by Stock Exchanges (NSE/BSE).

- Ensure adherence to KYC, AML, and PMLA guidelines, including client onboarding and due diligence processes.

- Monitor compliance with trading, risk management, margin requirements, and client fund & securities segregation norms.

- Supervise regulatory reporting, submissions, and periodic filings with SEBI and Stock Exchanges.

- Handle inspections, audits, and queries from SEBI, Exchanges, and other regulatory authorities.

- Implement and monitor internal compliance systems, controls, and SOPs for broking operations.

- Stay updated on regulatory changes and ensure timely dissemination and implementation across the organization.

Legal Responsibilities:

- Head the Legal function and oversee all legal matters of the Company.

- Draft, vet, and negotiate contracts, agreements, and other legal documents.

- Manage litigation, arbitration, and dispute resolution matters.

- Provide legal advisory and opinions to business units and senior management.

- Ensure compliance with applicable legal and regulatory frameworks.

- Coordinate effectively with external legal counsel and regulatory authorities.