Website:
intellectualcapital.co.in
Job details:
Key Responsibilities
Secretarial & Compliance
Lead and manage all corporate secretarial functions of the Company
Ensure compliance with applicable laws including Companies Act, SEBI regulations, and other
applicable statutory requirements
Act as a key advisor to the Board and senior management on governance, legal, and compliance
matters
Organize Board /Committee meetings, including preparation of agendas, minutes, and follow-ups
Liaise with regulatory authorities such as SEBI, Stock Exchanges, and other stakeholders
Strengthen corporate governance practices and ensure adherence to best-in-class compliance
standards
Manage secretarial audits, inspections, and regulatory filings
Stockbroking Compliance Responsibilities
Oversee compliance with SEBI (Stock Brokers) Regulations, Exchange bye-laws, and circulars issued
by Stock Exchanges (NSE/BSE)
Ensure adherence to KYC, AML, and PMLA guidelines, including client onboarding and due diligence
processes
Monitor compliance with trading, risk management, margin requirements, and client fund & securities
segregation norms
Supervise regulatory reporting, submissions, and periodic filings with SEBI and Stock Exchanges
Handle inspections, audits, and queries from SEBI, Exchanges, and other regulatory authorities
Implement and monitor internal compliance systems, controls, and SOPs for broking operations
Stay updated on regulatory changes and ensure timely dissemination and implementation across the
organization
Legal Responsibilities
Head the Legal function and oversee all legal matters of the Company
Draft, vet, and negotiate contracts, agreements, and other legal documents
Manage litigation, arbitration, and dispute resolution matters
Provide legal advisory and opinions to business units and senior management
Ensure compliance with applicable legal and regulatory frameworks
Coordinate effectively with external legal counsel and regulatory authorities
Vigilance Responsibilities
Lead the Vigilance function and foster a strong ethical culture across the organization
Handle vigilance cases including complaints, investigations, and disciplinary actions
Develop and implement vigilance policies, frameworks, and preventive mechanisms
Coordinate with internal departments for fact-finding and risk mitigation
Ensure timely reporting of vigilance matters to senior management and the Board
Promote transparency, integrity, and effective whistleblower mechanisms
Eligibility Criteria
Qualified Company Secretary (Member of ICSI); LLB preferred
Minimum 12–18 years of relevant experience, preferably in the stockbroking or financial services
industry
Strong exposure to secretarial, legal, compliance (including stockbroking compliance), and vigilance
functions
In-depth knowledge of SEBI regulations, the Companies Act, and corporate governance frameworks
Excellent leadership, analytical, and stakeholder management skills
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