Executive - Compliance & Secretarial

4 days ago

Maidan Kolkata West Bengal, India StockEdge Full time

**A. Secretarial & RoC Compliance**
- Ensure full compliance with the **Companies Act, 2013** and timely filings with the **Registrar of Companies (RoC)** (e.g., MGT-7, AOC-4, ADT-1, PAS-3).
- Conduct and document **Board Meetings, AGMs, and EGMs** including agenda preparation, minutes, resolutions, and statutory registers.
- Manage corporate records, shareholding patterns, and equity-related activities.

**B. Regulatory Affairs (RA)**
- Handle company-wide compliance with **SEBI**, **RBI**, **MCA**, and other relevant regulators.
- Stay updated with applicable regulations including **SEBI (Investment Advisers) Regulations**, **FEMA**, and ensure company policies align with latest directives.
- Coordinate with legal counsel and external consultants to manage licensing and inspections.
- File required returns and disclosures with regulatory bodies on time.

**C. Research & Investment Advisory (RIA) Compliance**
- Monitor research content, investment advice, and communication to ensure compliance with **SEBI (RA & IA)** guidelines.
- Ensure proper disclosures and disclaimers in research reports and advisory material.
- Track compliance with client documentation - KYC, risk profiling, agreements, and suitability records.
- Support internal training and awareness on RA/IA regulatory requirements.

**Job Types**: Full-time, Permanent

Pay: ₹360,000.00 - ₹550,000.00 per year

**Benefits**:

- Health insurance
- Provident Fund

Schedule:

- Day shift

**Education**:

- Bachelor's (required)

**Location**:

- Maidan, Kolkata, West Bengal (preferred)

Work Location: In person

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