Jainam Broking Limited 3 hours ago Location Head Office
Department
ROC - JBL
Employment Type
Full time
Applications Received
1
Closes On
3 Aug, ****
Job Description: Executive – ROC (Registrar of Companies) Compliance
Department: Compliance / Secretarial
Location: [Add Location]
Reporting To: Company Secretary / Head–Compliance
Industry: Stock Broking / Capital Markets
Role Overview
The Executive – ROC will be responsible for ensuring statutory compliance under the Companies Act, **** and assisting in corporate governance activities for a stock broking firm.
The role involves timely filing of ROC forms, maintaining statutory registers, supporting Board/Shareholder meetings, and coordinating with auditors, regulators, and internal teams to ensure full compliance with corporate laws and regulations applicable to a brokerage entity.
Key Responsibilities ROC & Companies Act CompliancePrepare, review, and file ROC forms and returns such as AOC-4, MGT-7, DIR-3 KYC, PAS-3, MGT-14 etc.Maintain and periodically update statutory registers:Register of MembersRegister of Directors & KMPRegister of Share Transfers, Charges, etc.Ensure compliance with Companies Act, ****, relevant Rules, and MCA notifications.Monitor due dates and ensure timely statutory filings in MCA portal.Draft resolutions, notices, minutes, and supporting documents for Board and General Meetings.
Stock Broking–Specific Secretarial Compliance SupportAssist Company Secretary in ensuring compliance related to:SEBI regulations (Stock Brokers Regulations, Depositories regulations, etc.)Stock Exchange requirements (NSE, BSE, MCX)DP (Depository Participant)



regulations if applicable.Support maintenance of internal compliance records as required for stock broking operations.
Corporate Governance & DocumentationPrepare and maintain Board/Committee agenda papers and minutes (Audit Committee, Risk Committee, Investment Committee, etc.).
Assist in drafting shareholder communications, corporate disclosures, and regulatory submissions.Coordinate with auditors (Statutory, Secretarial, Internal) for periodic audits and inspections.
Coordination & Administrative ResponsibilitiesLiaise with MCA, ROC, Consultants, Legal Counsel, and external agencies.Support CS in share issuance, capital alteration, appointment/resignation of directors, and KMP filings.Ensure proper custody of corporate documents, certificates, seals, statutory registers, and minutes books.
Skills & Competencies RequiredStrong knowledge of Companies Act, ****, MCA portal, and ROC compliance.Familiarity with SEBI, Stock Exchange, and Depository regulations (preferred).
Excellent drafting skills for resolutions, notices, minutes, and compliance documents.Proficiency in MS Office and compliance software (if used).
Strong attention to detail and ability to manage timelines.Effective communication & coordination skills.
Qualifications & ExperienceQualification:B.Com / M.Com / LLB preferredCS Executive / CS Professional (pursuing or completed) desirableExperience:1–3 years in ROC/secretarial complianceExperience in stock broking or financial services industry is an added advantage.
Key Performance Indicators (KPIs)Timely filing of all ROC returns without penalties.Accuracy of statutory records and documentation.Compliance readiness during audits and inspections.Quality and timeliness of meeting documentation (resolutions, minutes, notices).
Effective coordination with internal and external stakeholders.

📌 Executive - Roc (Queensland)
🏢 Jainam Share Consultants
📍 Queensland