Company Secretary

Job Summary

Head Company Secretary, Legal & Vigilance StockHolding Services Limited (SSL), a SEBI-registered corporate stockbroking firm, invites applications from experienced and dynamic professionals to lead its Secretarial, Legal, Compliance, and Vigilance functions as Head Company Secretary, Legal & Vigilance.

Responsibilities

• Secretarial & Compliance: Lead and manage all corporate secretarial functions of the Company; Ensure compliance with applicable laws including Companies Act, SEBI regulations, and other applicable statutory requirements; Act as a key advisor to the Board and senior management on governance, legal, and compliance matters; Organize Board /Committee meetings, including preparation of agendas, minutes, and follow-ups; Liaise with regulatory authorities such as SEBI, Stock Exchanges, and other stakeholders; Strengthen corporate governance practices and ensure adherence to best-in-class compliance standards; Manage secretarial audits, inspections, and regulatory filings.
• Stockbroking Compliance: Oversee compliance with SEBI (Stock Brokers) Regulations, Exchange bye-laws, and circulars issued by Stock Exchanges (NSE/BSE); Ensure adherence to KYC, AML, and PMLA guidelines, including client onboarding and due diligence processes; Monitor compliance with trading, risk management, margin requirements, and client fund & securities segregation norms; Supervise regulatory reporting, submissions, and periodic filings with SEBI and Stock Exchanges; Handle inspections, audits, and queries from SEBI, Exchanges, and other regulatory authorities; Implement and monitor internal compliance systems, controls, and SOPs for broking operations; Stay updated on regulatory changes and ensure timely dissemination and implementation across the organization.
• Legal Responsibilities: Head the Legal function and oversee all legal matters of the Company; Draft, vet, and negotiate contracts, agreements, and other legal documents; Manage litigation, arbitration, and dispute resolution matters; Provide legal advisory and opinions to business units and senior management; Ensure compliance with applicable legal and regulatory frameworks; Coordinate effectively with external legal counsel and regulatory authorities.
• Vigilance Responsibilities: Lead the Vigilance function and foster a strong ethical culture across the organization; Handle vigilance cases including complaints, investigations, and disciplinary actions; Develop and implement vigilance policies, frameworks, and preventive mechanisms; Coordinate with internal departments for fact-finding and risk mitigation; Ensure timely reporting of vigilance matters to senior management and the Board; Promote transparency, integrity, and effective whistleblower mechanisms.

Eligibility Criteria

• Qualified Company Secretary (Member of ICSI); LLB preferred
• Minimum 12 18 years of relevant experience, preferably in the stockbroking or financial services industry
• Strong exposure to secretarial, legal, compliance (including stockbroking compliance), and vigilance functions
• In-depth knowledge of SEBI regulations, the Companies Act, and corporate governance frameworks
• Excellent leadership, analytical, and stakeholder management skills

Key Skills

• Corporate Secretarial
• Compliance Management
• SEBI Regulations
• Vigilance
• Legal Advisory
• Contract Drafting
• Litigation Management
• Regulatory Reporting
• Corporate Governance

Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.