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 (Delhi)
🏢 Intellectual Capital HR Consulting
📍 Delhi