Role & responsibilities

Key Responsibilities

A. IPO & Listing Documentation (Critical Mandate)
- Lead the Documentation Drive: Coordinate with investment bankers, legal counsel, and auditors to draft

and finalize the DRHP (Draft Red Herring Prospectus) and RHP.
- ROC & SEBI Liaison: Manage end-to-end filing of the draft offer document with SEBI, ROC, and Stock

Exchanges (BSE/NSE).
- Due Diligence: Conduct secretarial due diligence, verify statutory registers, and ensure there are no

disqualifications under the Companies Act or SEBI ICDR Regulations.
- Filing Management: Oversee the filing of e-forms (e.g., PAS-6, SH-7, MGT-14) related to the IPO process,

including share split, bonus issuance, or rights issue if applicable.
- Regulatory Approval Tracking: Prepare and track the status of observations from SEBI, ROC, and Stock

Exchanges; ensure timely responses to RFIs (Request for Information).

B. Standard Company Secretary (Post-IPO & General)
- Board & Committee Meetings: Organize and attend Board Meetings, Audit Committee, Stakeholders

Relationship Committee (SRC),



and AGM/EGMs. Draft minutes, agendas, and notices.
- Annual Compliance: File AOC-4, MGT-7, and MGT-15 (Board Report) on time.
- Secretarial Audit: Conduct or facilitate secretarial audits and submit the secretarial compliance report to

Stock Exchanges as required.
- Shareholder Management: Manage share transfer, transmission, and handle investor grievances (Scorecard

with RTA).

C. Post-Listing Compliance (SEBI LODR)
- Ensure compliance with Regulation 23 (Related Party Transactions), Regulation 30 (Material

Events/Disclosures), and Regulation 34 (Annual Report).
- Manage insider trading code (PIT Regulations) including trading window closures and disclosures by

designated persons.
- Prepare and file quarterly compliance reports on the BSE/NSE Listing Portal (e.g., Corporate Governance

Report, Shareholding Pattern).

D. Legal & Corporate Actions
- Advise management on Corporate Laws, FEMA (

📌 Company Secretary Legal Officer (Pune)
🏢 Option Us
📍 Pune