Financial Services Groups
Financial Services Groups
Jainam Broking Limited
2 days ago
Location
Head Office
Department
ROC - JBL
Employment Type
Full-time
Applications Received
0
Closes On
26 Jan, ****
Position Overview
The Vice President – ROC & Corporate Compliance will be responsible for leading and managing all corporate secretarial, regulatory, and ROC compliance functions across the Group Companies. The incumbent will ensure adherence to the Companies Act, ****, corporate governance requirements, statutory filings, board and shareholder compliances, and regulatory obligations applicable to the Stock Broking and Financial Services ecosystem. The role requires a seasoned professional with robust expertise in corporate laws, secretarial practices, governance frameworks, compliance management, and stakeholder coordination with regulators, auditors, legal advisors, and senior management.
Key Responsibilities
Corporate Secretarial & ROC Compliance
Lead and oversee end-to-end ROC compliance for all Group Companies.
Ensure timely filing of statutory forms, returns, resolutions, and disclosures with ROC.
Manage annual compliance requirements under the Companies Act, ****.
Maintain statutory registers, records, minutes books, and corporate documents.
Ensure compliance with secretarial standards and corporate governance norms.
Oversee incorporation, merger, restructuring, strike‐off, and closure of entities, where applicable.
Board & Committee Management
Manage Board Meetings, Committee Meetings, AGMs, and EGMs across Group Companies.
Prepare agendas, notices, board notes, resolutions, and meeting minutes.
Ensure implementation and monitoring of Board decisions.
Advise Directors and Key Managerial Personnel on governance and compliance matters.
Coordinate with Independent Directors and external professionals on governance issues.
Regulatory Compliance & Governance
Ensure corporate governance compliance across the Group structure.
Monitor regulatory changes under:
Companies Act,



****
SEBI Regulations
FEMA
Secretarial Standards
Other applicable corporate laws
Develop and strengthen compliance monitoring mechanisms.
Establish governance frameworks and compliance dashboards for management review.
Group Company Compliance Management
Standardize compliance processes across subsidiaries, associates, LLPs, and other group entities.
Monitor compliance calendars and statutory obligations.
Conduct periodic compliance reviews and risk assessments.
Ensure proper documentation and control environment across entities.
Finance & Legal Coordination
Work closely with Finance, Taxation, Legal, Audit, and Business teams.
Coordinate with statutory auditors, secretarial auditors, legal counsels, and regulators.
Support due diligence exercises, fund raising, acquisitions, restructuring, and strategic transactions.
Review legal and statutory implications of corporate actions and business initiatives.
Corporate Governance & Risk Management
Drive governance excellence across the organization.
Identify compliance risks and implement preventive controls.
Present compliance status reports to senior management and Board Committees.
Ensure closure of audit observations and regulatory findings within stipulated timelines.
Manage director disclosures, related‐party transactions, and governance reporting requirements.
Process Improvement & Digital Compliance
Lead compliance automation initiatives and digital governance frameworks.
Implement technology‐driven compliance tracking systems.
Develop SOPs and policy frameworks for regulatory compliance.




Enhance operational efficiency through process standardization.
Team Leadership
Lead and mentor secretarial and compliance teams.
Build succession plans and capability enhancement programs.
Define KPIs and performance metrics for team members.
Foster a culture of compliance, ethics, and accountability.
Educational Qualification
Mandatory
Qualified Company Secretary (CS)
Preferred
LLB
Chartered Accountant (CA)
MBA (Finance) or equivalent qualification
Experience
*****+ years of experience in Corporate Secretarial, ROC Compliance, and Corporate Governance.
Minimum 8 years in senior leadership roles.
Experience handling multiple companies/entities within a group structure.
Prior experience in:
Stock Broking Firms
Capital Market Organizations
NBFCs
Financial Services Groups
Listed and Unlisted Companies
Technical Competencies
Expert knowledge of Companies Act, ****.
Strong understanding of:
Corporate Governance Frameworks
Secretarial Standards
SEBI Regulations
FEMA Compliance
Board Governance Practices
Corporate Restructuring & Due Diligence
Proficiency in MCA Portal filings and compliance systems.
Exposure to ERP and compliance management tools.
Behavioral Competencies
Strategic Leadership
Executive Presence
Governance Excellence
Stakeholder Management
Risk Assessment & Mitigation
Decision Making
High Ethical Standards
Problem Solving & Analytical Thinking
Communication & Influencing Skills
Key Performance Indicators (KPIs)
100% timely ROC and statutory filings.
Zero major regulatory non‐compliance observations.
Effectiveness of corporate governance framework.
Successful conduct of Board, Committee, AGM, and EGM meetings.
Timely closure of audit and compliance observations.
Compliance risk reduction across Group Companies.
Automation and process improvement initiatives implemented.
Internal and external stakeholder satisfaction.
#J-*****-Ljbffr

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