Job Description & How to Apply Below
Location: Bengaluru
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. 12-18
LPA (Basis last drawn)
Location - Bangalore
-Bellandur
#Company Secretary #Sebi Compliance #Stock Broking Regulations #Compliance Reports #Sebi regulations #Compliance Audit #Board Meetings #Securities Compliances #Sebi Marketing Guidelines #Compliance Calendar
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