Job Description

A. Secretarial & RoC Compliance

Ensure full compliance with the

Companies Act, 2013

and timely filings with the

Registrar of Companies (RoC)

(e.g., MGT-7, AOC-4, ADT-1, PAS-3). Conduct and document

Board Meetings, AGMs, and EGMs

including agenda preparation, minutes, resolutions, and statutory registers. Manage corporate records, shareholding patterns, and equity-related activities.

B. Regulatory Affairs (RA)

Handle company-wide compliance with

SEBI

,

RBI

,

MCA

, and other relevant regulators. Stay updated with applicable regulations including

SEBI (Investment Advisers) Regulations

,

FEMA

, and ensure company policies align with latest directives. Coordinate with legal counsel and external consultants to manage licensing and inspections. File required returns and disclosures with regulatory bodies on time.

C. Research & Investment Advisory (RIA) Compliance

Monitor research content, investment advice, and communication to ensure compliance with

SEBI (RA & IA)

guidelines. Ensure proper disclosures and disclaimers in research reports and advisory material. Track compliance with client documentation - KYC, risk profiling, agreements, and suitability records. Support internal training and awareness on RA/IA regulatory requirements.
Job Types: Full-time, Permanent

Pay: ?360,000.00 - ?550,000.00 per year

Benefits:

Health insurance Provident Fund
Schedule:

Day shift
Education:

Bachelor's (Required)
Location:

Maidan, Kolkata, West Bengal (Preferred)
Work Location: In person