Jainam Broking Limited
2 hours ago
Location
Head Office
Department
ROC - JBL
Employment Type
Full-time
Applications Received
1
Closes On
28 Mar, 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.