Company Secretary

Position: Company Secretary Industry: Broking/Financial Services Location: Mumbai Job Purpose: The Company Secretary is responsible for ensuring that the company adheres to statutory and regulatory requirements in the broking industry. This role involves maintaining corporate governance, legal compliance, and regulatory filings, managing board meetings, and ensuring smooth communication between the board, management, and stakeholders. Key Responsibilities: 1. Corporate Governance & Compliance: o Ensure adherence to corporate governance standards in line with the laws, rules, and regulations governing the broking industry. o Oversee and ensure compliance with the Companies Act, SEBI regulations, stock exchange listing requirements, and other applicable laws and regulations. o Advise the board and senior management on governance matters and emerging compliance issues. 2. Regulatory Filings & Reporting: o Prepare and file statutory documents, such as annual returns, financial statements, and compliance certificates. o Liaise with regulatory authorities (e.g., SEBI, NSE/BSE) and ensure timely submission of reports. o Manage the compliance with Anti-Money Laundering (AML) and Know Your Customer (KYC) regulations in line with industry standards. 3. Board & Shareholder Meetings: o Organize and attend Board meetings, ensuring that agendas are prepared and minutes are accurately recorded. o Provide support to the board and senior executives in decision-making processes. o Handle communications with shareholders, preparing notices, reports, and other documents for annual general meetings (AGMs) and extraordinary general meetings (EGMs). 4. Legal & Regulatory Advisory: o Provide legal and regulatory advice to the management team on day-to-day operations, including trading, compliance, risk management, and other broking activities. o Monitor and implement changes in industry laws, regulations, and guidelines to ensure business operations remain compliant. 5. Risk Management: o Assist in the identification and mitigation of legal and operational risks within the broking operations. o Support the creation and enforcement of internal policies related to compliance, ethics, and risk management. 6. Secretarial Support: o Manage and maintain statutory registers, records, and filings related to the company. o Act as a liaison between the company and regulatory authorities, ensuring timely and accurate communication. 7. Investor Relations: o Oversee and maintain investor relations, ensuring transparency and effective communication with investors. o Prepare reports for investors and address shareholder inquiries. 8. Ad-hoc Duties: o Manage special projects or ad-hoc tasks as assigned by the senior management or board. o Stay updated on trends and developments in the broking industry, offering advice as necessary. Interested candidate please share your resume at joy@peoplemint.in