Jainam Broking Limited

- 5 days ago

Location: Head Office

Department: ROC - JBL

Employment Type: Full-time

Applications Received: 0

Closes On: 20 Sep, 2026

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, 2013 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 Compliance
- Prepare, 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 Members
- Register of Directors & KMP
- Register of Share Transfers, Charges, etc.
- Ensure compliance with Companies Act, 2013, 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 Support
- Assist 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 & Documentation
- Prepare 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 Responsibilities
- Liaise 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 Required

- Solid knowledge of Companies Act, 2013, 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 & Experience

- Qualification:
- B.Com / M.Com / LLB preferred
- CS Executive / CS Professional (pursuing or completed) desirable

- Experience:

- 1–3 years in ROC/secretarial compliance
- Experience 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.

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