Company Secretary

1 week ago

Vijay Nagar Indore Madhya Pradesh, India Endorfins Capital Full time

**Key Responsibilities**:
1. C**ompliance Management**:
*Ensure strict compliance with SEBI regulations for PMS, AIF, and broking services.

*Stay updated on regulatory changes and proactively implement them within the organization.

*Prepare and file periodic reports, disclosures, and filings with SEBI, ROC, and other regulatory authorities.

*Handle investor grievances related to regulatory or operational issues.

2. **Corporate Governance**:
*Advise the Board of Directors and senior management on compliance-related matters.

*Draft and implement policies for risk management, insider trading, and data privacy.

*Maintain records of board meetings, committee meetings, and annual general meetings, ensuring compliance with the Companies Act, 2013.

3. **PMS and AIF Compliances**:
*Handle documentation for fund setup, registration, and approvals from SEBI for AIF and PMS.

*Monitor investment activities, ensure adherence to fund structure rules, and supervise reporting to clients and SEBI.

*Verify KYC, due diligence, and compliance checks for all transactions.

4. **Broking Compliances**:
*Manage SEBI and exchange-related compliances for broking activities, including margin rules, audit submissions, and operational guidelines.

*Conduct regular audits for AML (Anti-Money Laundering), client segregation, and data protection.

5. **SEBI Liaison**:
*Act as the primary point of contact for SEBI inspections, audits, and inquiries.

*Draft responses to show-cause notices, regulatory queries, and inspection reports.

6. R**isk Management and Internal Control**:
*Design and implement compliance monitoring systems to prevent breaches.

*Conduct training sessions for employees on regulatory frameworks and company policies.

7. **Legal and Secretarial Matters**:
*Draft agreements, resolutions, and legal documents for various transactions, including fund formation and broking operations.

*Ensure compliance with FEMA, FDI, and taxation laws applicable to the business.

********

**Key Skills**:
1. Expertise in SEBI Regulations: Deep understanding of SEBI (PMS) Regulations, SEBI (AIF) Regulations, and SEBI (Stockbrokers) Regulations.

2. Knowledge of Companies Act: Proficiency in handling corporate law and secretarial compliance.

3. Analytical Thinking: Ability to assess regulatory impacts on business operations and provide actionable insights.

4. Interpersonal Skills: Strong communication and collaboration skills for interaction with regulators, clients, and internal teams.

5. Detail Orientation: Ensuring accuracy in reporting, documentation, and filings.

*********

**Qualifications**:
1. **Educational Background**:
Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI).

2. **Experience**:
Minimum 5-8 years of experience in handling SEBI compliances, preferably in PMS, AIF, or broking firms.

Familiarity with fund structures, investment rules, and financial services operations.

3. **Certifications (preferred)**:
Certification in SEBI Regulations or Investment Compliance.

Additional qualifications like LLB or MBA in Finance can be an advantage.

**Works closely with**:
Fund Managers

Risk Management Team

Operations and Legal Departments

Pay: ₹40,000.00 - ₹70,000.00 per month

**Benefits**:

- Health insurance

Schedule:

- Fixed shift
- Monday to Friday
- Morning shift

**Education**:

- Bachelor's (preferred)

**Experience**:

- total work: 1 year (required)

License/Certification:

- CSEET (preferred)

Work Location: In person

Expected Start Date: 01/02/2025

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