CS, 5-7 Yrs , Sr. Manager , Secretarial & Compliance

  • Mumbai

Job ID : 1715

About Company

The company is a well-diversified financial services company focused on wealth creation through knowledge and also following the business legacy for 30+ years and headquartered in Mumbai. 

The company is offering a wide range of financial products and services such as Private Wealth, Retail Broking and Distribution, Institutional Broking, Asset Management, Investment Banking, Private Equity, Commodity Broking, Currency Broking, and Home Finance 

As of September 2022, it had a network spread over 550 cities and towns comprising 2500+ Business Locations operated by their Business Partners, with over 10000+ employees and 5.2 Million+ customers. It has a diversified client base that includes retail customers (including High Net worth Individuals), mutual funds, foreign institutional investors, financial institutions, and corporate clients. 

The consolidated revenues for the year ending 2021 were INR 4,31,983 Lakhs for the year under review, an increase of 19% as compared to the previous year.

They have also been awarded the Best Performing Equity Broker (National) at the CNBC TV18 Financial Advisor Awards for five years in a row & got inducted into the ‘Hall of Fame’ at the 10th Financial Advisory Awards 2019.

Job Description

Roles and Responsibility

  • Managing secretarial activities such as holding Board and Committee Meetings including ALCO and RMC meetings, preparing agenda and minutes, Board presentation and liasoning with business team, shareholders, directors and regulators.
  • Handling due diligence, RBI inspection, co-ordinating with Internal Auditor, Statutory Auditors, Secretarial and closing the respective audits etc.
  • Submission of various disclosures with Stock Exchange under SEBI (Listing Obligations and Disclosure Requirements) Regulations, 2015 and ensuring compliance with Debenture Trustees and Exchanges in connection with listed Non-Convertible Debentures (“NCD”) & Listed Commercial papers
  • Preparation of Offer Document for private placement of listed NCD, Filing of Corporate Action Form, drafting Debenture Trust Deed, Hypothecation cum Mortgage Deed, Listing of NCD with Stock Exchange, Co-ordination with Debenture Trustees, Filing of necessary forms, etc.
  • Preparation of Notice of Annual General Meeting and Extraordinary General Meeting, Board’ Report, Corporate Governance Report, etc.
  • Ensuring coordination with various stakeholders for implementing ESG related activities and also working on BRSR.
  • Ensuring that the Company is compliant with the Master Direction/Circulars issued or amended by RBI from time to time.
  • Submission of various Returns with Reserve Bank of India (“RBI”) and filing of various intimation with RBI
  • Finalisation and Implementation of various Policies, setting up process to monitoring compliances of HFC/NBFC.  
  • Co-ordination with Various Business Functions for ensuring that the Lending/Investment activities are in compliance with RBI Provisions
  • Monitoring of loan books of the Company and ensuring proper KYC, credit appraisal, review process is followed
  • Well-versed with compliances with RBI under FEMA pertaining to ODI application, APR, FLA filing for investment in off-shore entities
  • Ensuring compliances as per the Companies Act, 2013, Secretarial Standards and updation of statutory records and to file various e-forms with MCA.


Candidate Required

  • Candidate having work experience in equity/debenture listed HFC/NBFC Co.
  • Having good exposure of the Companies Act, 2013 and SEBI Listing regulations
  • Having decent exposure of compliances applicable to Home Finance Cos. (“HFCs”) / Non-Banking Financial Cos. (“NBFCs”) (1st preference to HFC cos.)
  • Having experience in Environmental, social and governance (“ESG”) related activities & have worked on Business Responsibility & Sustainability Report (“BRSR”)




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Education Qualification

  • Qualified CS (Company Secretary)
  • Bcom/

Job Type

Full Time


  • No. Of Vacancy

  • Offered Salary

    10 - 15 Lac
  • Experience

  • Industry

    Share Broking

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