Company Secretary & Compliance

Job Description

Pashupati Capital Services (PCS) is a registered stockbroker focusing on proprietary trading. We are seeking an experienced Dealer for our Mumbai location.

Principal Responsibilities

• Ensure timely reporting to SEBI, exchanges, and depositories (daily/weekly/monthly).
• Handle SEBI/exchange audits, inspections, and draft responses to regulatory queries (group companies).
• Stay updated on regulatory changes and revise internal policies accordingly.
• Oversee KYC, AML, and internal compliance procedures to establish robust business expansion into HNI, FPI and Institutional Broking.
• Conducted board, committee, and general meetings across group companies.
• Draft/review minutes, maintain statutory registers, and manage company records.
• Handle all ROC filings—annual returns, event-based forms, and resolutions.
• Ensure compliance with the Companies Act, SEBI Rules, RBI Rules, IFSCA guidelines, and FEMA.
• Liaise with regulators, auditors, and legal advisors on corporate governance matters.

Job Requirements

• Educational Qualifications: A professional qualification as a Company Secretary is a must.
• Minimum of 1-2 years of progressive experience in compliance or CS within the stock broking industry.
• Strong knowledge of SEBI regulations, ROC guidelines, IFSCA Rules, exchange guidelines, and stock broking compliance requirements.
• Excellent analytical, problem-solving, and decision-making skills.
• Exceptional communication, negotiation, and interpersonal skills.