Head CS

5 days ago

Mumbai, India Numeric Infosystem Full time

Head Company Secretarial & Legal

Job Purpose:- To lead the Company Secretarial and Legal functions of the listed Asset Management Company and its subsidiaries/trustee company, ensuring end-to-end compliance with all corporate, securities, and fund regulations. The role is responsible for robust corporate governance, regulatory liaison, contract management, and legal risk oversight in alignment with SEBI and stock exchange requirement

Job Description

A. Company Secretarial:

  • Act as Company Secretary of the listed AMC and Trustee Company.

  • Convene and manage Board Meetings, Committee Meetings, and General Meetings, including:

  • Preparation and circulation of notices, agenda papers, and minutes.

  • Compliance with SEBI (LODR) Regulations, Companies Act, and Mutual Fund Regulations.

  • Facilitation of e-voting and shareholder communications.

  • Ensure accurate and timely filings and disclosures to:

  • Stock Exchanges (NSE, BSE) including quarterly results, shareholding patterns, press releases, investor presentations, corporate announcements.

  • Registrar of Companies.

  • SEBI and AMFI.

  • Maintain Statutory Registers, records of Board & shareholder resolutions, and regulatory compliance trackers.

  • Advise the Board and senior management on:

  • Corporate governance requirements (including composition of Board/Committees, related party transactions, insider trading regulations).

  • Compliance obligations under LODR, Companies Act, and other applicable laws.

  • Manage insider trading controls, including maintenance of Structured Digital Database and monitoring of trading windows.

  • Coordinate AGM, Annual Report preparation, and shareholder engagement.

B. Legal & Regulatory Compliance:

  • Oversee the Legal function, including:

  • Drafting, review, negotiation of commercial contracts, distribution agreements, investment agreements, service arrangements, NDAs.

  • Vetting of marketing and investor communications.

  • Advise management on interpretation and application of laws:

  • SEBI Mutual Fund Regulations, LODR Regulations, Companies Act, FEMA, AML/KYC, and Data Privacy.

  • Manage litigation and dispute resolution, including appointment and coordination with external counsel.

  • Handle legal due diligence for new business initiatives, M&A activity, or product launches.
  • Support regulatory inspections and audits.
  • Develop internal policies and frameworks for legal risk mitigation.

C. Governance, Risk, and Policy Development:

  • Ensure continuous monitoring of regulatory changes, and update Board and management.
  • Design and implement Board governance frameworks and compliance monitoring systems.
  • Develop training and awareness programs on corporate governance, insider trading, and legal compliance.
  • Ensure effective record-keeping and readiness for regulatory or statutory scrutiny.

D. Team Leadership:

  • Lead and mentor a team of qualified professionals in Company Secretarial and Legal.
  • Foster a high-performance, compliant, and ethical work culture.

QualificationsCompany Secretary (CS) mandatory
LLB or LLM preferredProfessional BackgroundMinimum 10yrs of relevant experience in:

  • Listed financial services / AMC / mutual fund business.
  • Exposure to SEBI, Stock Exchange, and ROC compliances.
  • Significant Board management and investor-facing disclosures.

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