Job Description
Jainam Broking Limited
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5 days ago
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Location: Head Office
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Department: ROC - JBL
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Employment Type: Full time
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Applications Received: 0
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Closes On: 20 Sep, ****
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Job Description: Executive – ROC (Registrar of Companies) Compliance
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Department: Compliance / Secretarial
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Location: [Add Location]
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Reporting To: Company Secretary / Head–Compliance
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Industry: Stock Broking / Capital Markets
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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.
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Key Responsibilitiesn
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ROC & Companies Act Compliance
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Prepare, review, and file ROC forms and returns such as AOC-4, MGT-7, DIR-3 KYC, PAS-3, MGT-14 etc.
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Maintain and periodically update statutory registers:
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Register of Members
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Register of Directors & KMP
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Register of Share Transfers, Charges, etc.
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Ensure compliance with Companies Act, ****, relevant Rules, and MCA notifications.
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Monitor due dates and ensure timely statutory filings in MCA portal.
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Draft resolutions, notices, minutes, and supporting documents for Board and General Meetings.
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Stock Broking–Specific Secretarial Compliance Support
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Assist Company Secretary in ensuring compliance related to:
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SEBI regulations (Stock Brokers Regulations, Depositories regulations, etc.)
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Stock Exchange requirements (NSE, BSE, MCX)
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DP (Depository Participant) regulations if applicable.
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Support maintenance of internal compliance records as required for stock broking operations.
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Corporate Governance & Documentation
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Prepare and maintain Board/Committee agenda papers and minutes (Audit Committee, Risk Committee, Investment Committee, etc.).
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Assist in drafting shareholder communications, corporate disclosures, and regulatory submissions.
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Coordinate with auditors (Statutory, Secretarial, Internal) for periodic audits and inspections.
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Coordination & Administrative Responsibilities
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Liaise with MCA, ROC, Consultants, Legal Counsel, and external agencies.
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Support CS in share issuance, capital alteration, appointment/resignation of directors, and KMP filings.
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Ensure proper custody of corporate documents, certificates, seals, statutory registers, and minutes books.
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Skills & Competencies Requiredn
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Strong knowledge of Companies Act, ****, MCA portal, and ROC compliance.
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Familiarity with SEBI, Stock Exchange, and Depository regulations (preferred).
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Excellent drafting skills for resolutions, notices, minutes, and compliance documents.
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Proficiency in MS Office and compliance software (if used).
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Strong attention to detail and ability to manage timelines.
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Effective communication & coordination skills.
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Qualifications & Experiencen
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Qualification:n
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B.Com / M.Com / LLB preferred
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CS Executive / CS Professional (pursuing or completed) desirable
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Experience:n
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1–3 years in ROC/secretarial compliance
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Experience in stock broking or financial services industry is an added advantage.
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Key Performance Indicators (KPIs)n
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Timely filing of all ROC returns without penalties.
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Accuracy of statutory records and documentation.
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Compliance readiness during audits and inspections.
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Quality and timeliness of meeting documentation (resolutions, minutes, notices).
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Effective coordination with internal and external stakeholders.
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📌 Executive - Roc (Rockhampton)
🏢 Jainam Share Consultants
📍 Rockhampton