Key Responsibilities – Quality & Compliance (Secretarial and FEMA)

- Quality Review of Documents

- Review secretarial and regulatory documents before filing to ensure accuracy, completeness, and compliance with applicable laws and regulations.
- Review incorporation documents, including SPICe+, e-MoA, e-AoA, AGILE-PRO-S, INC-9, DIR-2, registered office proofs, and LLP incorporation forms.
- Review annual ROC filings such as AOC-4, MGT-7/MGT-7A, ADT-1, DIR-3 KYC, DPT-3, MSME-1, and LLP Forms 8 and 11.
- Review event-based ROC filings, including INC-20A, INC-22, DIR-12, PAS-3, SH-7, MGT-14, CHG-1, BEN-2, STK-2, and relevant LLP forms.
- Verify board and general meeting notices, minutes, resolutions, statutory registers, and share issue documentation.
- Review FEMA-related filings, including FC-GPR, FC-TRS, LLP-I, LLP-II, Form DI, Form ODI, APR, ECB-2, and FLA returns.
- Verify names, DIN/DPIN, capital details, shareholding, dates, authorised signatories, supporting documents, and attachments against source records.
- Conduct 100% quality checks for high-risk filings, particularly FEMA reporting, share allotments, and charge-related filings, along with defined sampling checks for routine filings.
- Monitor statutory filing deadlines and identify discrepancies that may lead to resubmissions, penalties, or additional fees.

2.

Quality

Reporting and Founder Coordination

- Report directly to the Founder on quality, compliance risks, and recurring filing errors.
- Prepare weekly quality reports covering filings reviewed, error rates by team and form, resubmissions, and late fees.




- Escalate critical errors or compliance risks promptly and recommend corrective actions.
- Maintain an error log to track discrepancies by team, form type, and root cause.

3. Team Training and Development
- Conduct induction training for current joiners on incorporation, ROC compliance, and FEMA processes.
- Organise monthly refresher sessions based on recurring errors and process gaps.
- Communicate relevant regulatory updates issued by the MCA, RBI, and ICSI, and ensure checklists are updated accordingly.
- Assess team members’ readiness before authorising them to independently handle specific filing types.

4. SOPs, Checklists, and Regulatory Compliance
- Develop and maintain standardised quality-checking checklists for each form and service line.
- Create, review, and update SOPs, templates, and internal quality-control procedures.
- Track amendments to the Companies Act, 2013, LLP Act, 2008, applicable FEMA regulations, and Secretarial Standards.
- Ensure internal processes remain aligned with applicable statutory and regulatory requirements.

5.

Process

Improvement and Automation

- Identify recurring errors and implement preventive measures to address their root causes.
- Collaborate with delivery teams to improve filing accuracy and operational efficiency.
- Work with the product and technology teams to convert manual checklists into system validations and automated pre-filing checks.
- Exercise quality-control authority to hold or escalate filings that do not meet the required accuracy and compliance standards until the issues are resolved.

📌 Compliance Executive (Gurugram)
🏢 RegisterKaro
📍 Gurugram