Company Secretary

Position: Company Secretary (IPO Lead & Compliance Officer)

Reporting To: Board of Directors / Audit Committee

1. Job Summary

The Company Secretary serves as the Compliance Officer under SEBI and MCA

regulations, steering the company through the IPO process and transitioning it into a

listed entity. They will ensure legal, regulatory, and governance adherence, coordinate

with officials and intermediaries, and strengthen corporate disclosure and board effectiveness.

2. Key Responsibilities

A. IPO Stage (Pre-Listing)

• IPO Strategy & Timeline Management:
• Formulate and manage IPO workflows (Board approvals, timelines,

compliance milestones).

• Support the constitution and functioning of the IPO Steering Committee.
• Document & Due Diligence Coordination:
• Prepare and manage the Virtual Data Room (VDR).
• Coordinate with auditors, merchant bankers, and advisors to manage due

diligence requisitions.

• Policy Framework & Corporate Governance:
• Draft/update governance policies (Board evaluation, whistleblowing,

related-party transactions, POSH, risk governance).

• Oversee board and committee structuring in line with LODR norms.

Over Document Preparation & Regulatory Filings:

• Assist in drafting, reviewing, and filing the DRHP/RHP.

• Address observations/comments from SEBI and stock exchanges

• Intermediary Management & Secretarial Liaison:

• Coordinate filings and communications with SEBI, Stock Exchanges, ROC,

depositories, auditors, CSR firms, underwriters, RTA, RBI (if relevant).

B. Post-IPO (Listed Entity Compliance)

• Regulatory Compliance & Disclosure Management:
• Ensure continuous compliance with LODR regulations (disclosures,

financial reporting, insider trading).

• Maintain statutory registers and updating website as required.

• Board & Shareholder Relations:

• Set up and coordinate board/committee meetings including drafting

agenda, materials, minutes, and resolutions.

• Manage ESG, stakeholders relationship, audit, and NRC committees.

• Investor Grievance and Communication:

• Monitor and address investor queries through the designated grievance

redressal email.

• Coordinate Annual General Meetings.

Risk Governance & Internal Control:

• Identify and mitigate secretarial, statutory, and insider-trading risks.
• Monitor and implement updates in corporate laws, FEMA/RBI norms, tax,

and audit interfaces.

3. Required Qualifications & Experience

• Fellow/Associate member of ICSI in good standing.
• 510+ years experience, with:
• Handling at least one IPO (SME or Main Board) o Post-listing company secretarial compliance in listed entities
• Experience with Debt issuances, Credit Rating compliances (preferred)
• Strong fluency in Companies Act, SEBI (LODR, ICDR, PIT), copyright contracts,

FEMA, and exchange byelaws.

4. Key Skills & Competencies

# Skill Area Description

1 Exceptional understanding of SEBI regulations (ICDR, LODR, PIT)

2 Expertise in drafting o er documents, board resolutions, governance policies

3 Strong project management, with multi-stakeholder engagement

4 Excellent communication and problem-solving ability liaison with regulators and

intermediaries

5 High ethical integritymanaging confidential information, conflict reporting

5. Performance Metrics

• Timely filing of all statutory forms and IPO documents
• No material NCLT/penalty or compliance defect in the listing review
• Board and committee meetings held legally and accurately minute
• Investor grievance resolution turnaround (30 days)
• Full readiness and coordination during audits and inspections

6. Reporting Framework

• Functional head for secretarial and compliance matters, reporting to the Audit

Committee

• Direct liaison with Merchant Bankers / IPO Advisor / Legal Counsel
• Partnered with CFO and CEO to ensure alignment on financing and statutory

filings