Role & responsibilities

Key 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 Responsibilities

• 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

📌 Head Company Secretary Legal and Vigilance (Gurugram)
🏢 Intellectual Capital HR Consulting
📍 Gurugram