Right Horizons
Website:
righthorizons.com
Job details:
Job Description: Company Secretary & Compliance Manager
Position Title: Asst. Manager – Compliance & Secretarial
Industry: Wealth Management (Distribution, PMS, & AIF)
Location: Bangalore
Experience: 1-3 years, Freshers can also apply.
Role Overview
We are looking for a highly diligent and proactive Company Secretary to manage the corporate secretarial functions for our group of companies. Beyond core secretarial duties, this role is pivotal in managing regulatory relationships, specifically focusing on SEBI Compliances for our Portfolio Management Services (PMS) and our upcoming Alternative Investment Fund (AIF) platform. The ideal candidate will act as the bridge between the Board of Directors, the regulators, and the business heads to ensure our wealth management operations are governed by the highest standards of integrity.
Key Responsibilities
1. Corporate Secretarial & Governance
• Manage secretarial audits and maintain all statutory registers, minute books, and records for the Group Companies.
• Organize and facilitate Board Meetings, Committee Meetings, and General Meetings (AGMs/EGMs), including drafting agendas and recording minutes.
• Ensure timely filing of all forms and returns with the Registrar of Companies (ROC) and Ministry of Corporate AƯairs (MCA).
• Handle corporate actions such as share transfers, allotments, and changes in capital structure.
2. SEBI & Regulatory Compliance (PMS & AIF)
• Act as the primary point of contact for SEBI regarding the Portfolio Management Services (PMS) license.
• Oversee the end-to-end registration process for the proposed AIF (Alternative Investment Fund) license.
• Ensure compliance with SEBI (PMS) Regulations and SEBI (AIF) Regulations, including:
o Filing of monthly/quarterly reports.
o Updating Disclosure Documents.
o Adhering to Advertisement Codes and Marketing Guidelines.
• Monitor and implement changes based on new SEBI circulars and notifications.
3. Distribution & Wealth Management Compliance
• Liaise with AMFI and other bodies regarding Mutual Fund distribution and advisory regulations.
• Review client onboarding processes (KYC/AML) to ensure they meet regulatory benchmarks.
• Develop and implement an internal compliance manual for the sales and distribution teams.
4. Advisory & Legal Coordination
• Provide legal and secretarial advice to the Board on diversification and group restructuring.
• Draft and review commercial contracts, vendor agreements, and non-disclosure agreements (NDAs).
• Liaise with external legal counsel and auditors as required.
Candidate Profile
Feature: Requirement
Qualification: Qualified Member of the Institute of Company Secretaries of India (ICSI).
Experience: 1-3 years, experience in the Financial Services industry preferred.
Technical Skills: Deep knowledge of Companies Act 2013, SEBI (PMS) Regs, and SEBI (AIF) Regs.
Soft Skills: Exceptional drafting skills, high attention to detail, and a firm ethical compass.
Why Join Us?
This is a high-impact role where you will not just "check boxes" but will actively shape the compliance architecture of a growing Wealth Management firm as we expand into the AIF space. You will work closely with the founders and the CFO and have significant autonomy in managing the regulatory roadmap.
About Us
Right Horizons Group is a leading financial services company that provides a comprehensive range of financial planning, wealth management, family office, and portfolio management services to clients in India and across the globe. For more information, please visit www.righthorizons.com
Send your resume to hr@righthorizons.com
Click on Apply to know more.