Website:
Job details:
Talasha has been mandated to hire a Company Secretary for an AI enabled brokerage firm registered with SEBI. This early stage startup founded by IITian co-founders is an AI-native personal finance platform for India
As Compliance Officer, you will own the compliance function end-to-end. You will work directly with the founders to set up the processes, records, and filings that a SEBI-registered advisory firm runs on.
Responsibilities-
- SEBI Compliance -Prepare and file periodic compliance reports with SEBI, quarterly and annual.
- Client Documentation -Own client records end-to-end — KYC documentation, risk profiling forms, consent records, and advisory documentation.
- Compliance Audit- Coordinate annual compliance audits with external auditors.
- Board Meetings -Organize and manage Board Meetings, Committee Meetings, and General Meetings including preparation of agendas, notices, minutes, resolutions, and compliance checklists.
- Securities Compliances -Handle compliances related to issuance, transfer, and dematerialization of securities.
- Audit Trail -Ensure every piece of investment advice carries a proper audit trail: risk category, rationale, and suitability check.
- SCORES Portal -Handle client grievance documentation and manage the SCORES portal.
- SEBI Marketing guidelines -Review marketing materials, product copy, and website content against SEBI advertising guidelines before they ship.
- Compliance Calendar -Own the compliance calendar and make sure nothing is missed.
- Track regulatory developments — new circulars, amendments, and filing deadlines — and translate them into what changes for us.
- Support the Principal Officer across client onboarding workflows.
- Partner with product and engineering so compliance requirements are built into the platform rather than bolted on afterwards.
Good to Have -
- Company Secretary with 3-6 years post qualification experience
- Prior experience in a stock brokerage firm with proficiency in SEBI compliances
- Startup mentality & immediate joiner preferred
CTC - Rs. 12-18LPA (Basis last drawn)
Location - Bangalore -Bellandur
Click on Apply to know more.