Jainam Broking Limited
* 12 minutes ago
Location
Head Office
Department
ROC - JBL
Employment Type
Full-time
Applications Received
0
Closes On
14 Jan, 2026
Job Description: Executive – ROC (Registrar of Companies) Compliance
Department:
Compliance / Secretarial
Location:
[Add Location]
Reporting To:
Company Secretary / Head–Compliance
Industry:
Stock Broking / Capital Markets
* Role Overview
The Executive – ROC will be responsible for ensuring statutory compliance under the Companies Act, 2013 and assisting in corporate governance activities for a stock broking firm. The role involves timely filing of ROC forms, maintaining statutory registers, supporting Board/Shareholder meetings, and coordinating with auditors, regulators, and internal teams to ensure full compliance with corporate laws and regulations applicable to a brokerage entity.
* Key Responsibilities
* ROC & Companies Act Compliance
* Prepare, review, and file ROC forms and returns such as AOC-4, MGT-7, DIR-3 KYC, PAS-3, MGT-14 etc.
* Maintain and periodically update statutory registers:
* Register of Members
* Register of Directors & KMP
* Register of Share Transfers, Charges, etc.
* Ensure compliance with Companies Act, 2013, relevant Rules, and MCA notifications.
* Monitor due dates and ensure timely statutory filings in MCA portal.
* Draft resolutions, notices, minutes, and supporting documents for Board and General Meetings.
* Stock Broking–Specific Secretarial Compliance Support
* Assist Company Secretary in ensuring compliance related to:
* SEBI regulations (Stock Brokers Regulations, Depositories regulations, etc.)
* Stock Exchange requirements (NSE, BSE, MCX)
* DP (Depository Participant) regulations if applicable.
* Support maintenance of internal compliance records as required for stock broking operations.
* Corporate Governance & Documentation
* Prepare and maintain Board/Committee agenda papers and minutes (Audit Committee, Risk Committee, Investment Committee, etc.).
* Assist in drafting shareholder communications, corporate disclosures, and regulatory submissions.
* Coordinate with auditors (Statutory, Secretarial, Internal) for periodic audits and inspections.
* Coordination & Administrative Responsibilities
* Liaise with MCA, ROC, Consultants, Legal Counsel, and external agencies.
* Support CS in share issuance, capital alteration, appointment/resignation of directors, and KMP filings.
* Ensure proper custody of corporate documents, certificates, seals, statutory registers, and minutes books.
* Skills & Competencies Required
* Strong knowledge of Companies Act, 2013, MCA portal, and ROC compliance.
* Familiarity with SEBI, Stock Exchange, and Depository regulations (preferred).
* Excellent drafting skills for resolutions, notices, minutes, and compliance documents.
* Proficiency in MS Office and compliance software (if used).
* Strong attention to detail and ability to manage timelines.
* Effective communication & coordination skills.
* Qualifications & Experience
* Qualification:
* B.Com / M.Com / LLB preferred
* CS Executive / CS Professional (pursuing or completed) desirable
* Experience:
* 1–3 years in ROC/secretarial compliance
* Experience in stock broking or financial services industry is an added advantage.
* Key Performance Indicators (KPIs)
* Timely filing of all ROC returns without penalties.
* Accuracy of statutory records and documentation.
* Compliance readiness during audits and inspections.
* Quality and timeliness of meeting documentation (resolutions, minutes, notices).
* Effective coordination with internal and external stakeholders.