Head Company Secretary Legal and Vigilance (Navi Mumbai)

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 solid 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 Apply on Kit Job: kitjob.in/job/4n94vp