Location

Mumbai

Job Type

Full Time

Experience

5-10 years

Role Overview

The Company Secretary will be responsible for ensuring effective corporate governance, statutory and secretarial compliance, regulatory filings, board and shareholder processes, and coordination with regulatory authorities for the Stock Broking and NBFC businesses. The role requires strong working knowledge of the Companies Act, SEBI regulations, RBI regulations applicable to NBFCs, stock exchange requirements and corporate governance practices.

Key Responsibilities

- 1. Corporate Secretarial Functions
- Manage the complete secretarial function of the Company.
- Convene and conduct Board Meetings, Committee Meetings and General Meetings.
- Prepare agendas, notices, resolutions, minutes and supporting documents.
- Maintain statutory registers and records as prescribed under the Companies Act.
- Ensure timely filing of statutory forms with the MCA/ROC.
- Draft Board resolutions, shareholder resolutions and corporate documents.
- Coordinate with Directors, senior management and professional advisors.
- 2. Companies Act Compliance
- Ensure compliance with applicable provisions of the Companies Act, 2013 and rules made thereunder.
- Handle annual filings including AOC-4, MGT-7/MGT-7A and other applicable forms.
- Manage changes in directors, KMP, shareholding, registered office, charges and other corporate matters.
- Maintain records relating to:
- Directors
- Shareholders
- Share transfers
- Charges
- Related Party Transactions
- Loans, investments and guarantees
- Monitor compliance relating to related party transactions and disclosures.
- 3. Stock Broking Regulatory Compliance
- Coordinate corporate/secretarial compliance relating to SEBI and Stock Exchanges.
- Ensure compliance with applicable requirements of NSE, BSE and other exchanges/depositories, wherever applicable.




- Coordinate with Compliance and Operations teams on regulatory submissions.
- Maintain corporate records and documents required by exchanges and regulators.
- Assist in responding to regulatory queries, inspections and notices.
- 4. NBFC Compliance
- Coordinate with the compliance team to ensure adherence to RBI regulations applicable to the NBFC.
- Monitor corporate governance requirements applicable to the NBFC.
- Assist in RBI filings, disclosures and regulatory submissions.
- Coordinate with Finance, Risk and Compliance teams for RBI-related requirements.
- Maintain documentation relating to loans, investments, borrowings, charges and other corporate matters.
- 5. Board & Corporate Governance
- Ensure effective functioning of the Board and its committees.
- Prepare Board meeting calendars and annual compliance calendars.
- Track action points arising from Board and Committee meetings.
- Ensure appropriate disclosures by Directors and KMP.
- Assist in implementation of corporate governance policies.
- Advise management on corporate governance and statutory requirements.
- 6. Shareholder & Investor Matters
- Handle shareholder communications and corporate actions.
- Coordinate with RTA, Depositories and other intermediaries, wherever applicable.
- Handle share transfer/transmission and related corporate documentation.
- Coordinate dividend declarations/payment processes, if applicable.
- Manage shareholder grievances and statutory correspondence.
- 7. Legal Documentation
- Draft and review:
- Board resolutions
- Agreements
- Notices
- Declarations




- Undertakings
- Powers of Attorney
- Corporate authorisations
- Coordinate with external legal counsel on corporate and regulatory matters.
- Maintain proper documentation of legal and corporate records.
- 8. Regulatory & Statutory Filings
- Ensure timely and accurate filing/submission of documents with:
- Ministry of Corporate Affairs / ROC
- SEBI

Required Skills & Qualifications

- Essential: Qualified Company Secretary (CS) from the Institute of Company Secretaries of India (ICSI).
- Graduate/Postgraduate in Commerce, Law, Finance or related discipline.
- Preferred: LLB / MBA / CA or additional legal/compliance qualification.
- Experience in a regulated financial-services organisation.
- Experience
- 5–10 years of post-qualification experience preferred.
- Experience in Stock Broking, NBFC, Banking, Capital Markets or Financial Services preferred.
- Candidates with experience handling Board/Committee meetings, MCA filings, SEBI/RBI compliance and regulatory inspections will be preferred.

Key Competencies

- The candidate should have practical knowledge of: Companies Act, 2013
- SEBI Act and applicable SEBI regulations
- SEBI LODR, where applicable
- SEBI Insider Trading Regulations
- SEBI Takeover Regulations, where applicable
- RBI Act and applicable NBFC Directions
- FEMA, where applicable
- PMLA/KYC requirements
- Stock Exchange regulations
- Depository regulations
- Corporate Governance requirements
- MCA/ROC compliance
- Educational Qualification

Why Join LM

- Opportunity to work with one of the established names in the financial services industry.
- Exposure to diverse capital market products and regulatory frameworks.
- Continuous learning and professional development.
- Cooperative and growth-oriented work environment.
- Competitive compensation and career advancement opportunities.

📌 Company Secretary Stock Broking & NBFC (Mumbai)
🏢 Latin Manharlal
📍 Mumbai