StockHolding Services Limited

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Prevent Unauthorized Transactions in your demat account --> Update your Mobile Number with your Depository Participant. Receive alerts on your Registered Mobile for all debit and other important transactions in your demat account directly from CDSL on the same day issued in the interest of investors. | KYC is one time exercise while dealing in securities markets - once KYC is done through a SEBI registered intermediary (broker, DP, Mutual Fund etc.), you need not undergo the same process again when you approach another intermediary. | No need to issue cheques by investors while subscribing to IPO. Just write the bank account number and sign in the application form to authorise your bank to make payment in case of allotment. No worries for refund as the money remains in investor's account. | Attention Investors : "Prevent Unauthorised transactions in your account --> Update your mobile numbers/email IDs with your stock brokers. Receive information of your transactions directly from Exchange on your mobile/email at the end of the day Issued in the interest of investors" Also "Please provide your email id and mobile number or declaration for Non-availability for continuous trading. Kindly refer the NSE circular number NSE/INSP/32471 dated 31/05/2016."

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Careers

Head- Secretarial, Legal and Compliance

Department : IT and Auto

Qualification : Qualified Company Secretary (Member of ICSI); LLB preferred

Experience : Minimum 12–18 years of relevant experience

Roles and Responsibilities

Head – Company Secretary, Legal & Vigilance
StockHolding Services Limited (SSL), a SEBI-registered corporate stockbroking firm, invites applications from experienced and dynamic professionals to lead its Secretarial, Legal, Compliance, and Vigilance functions as Head – Company Secretary, Legal & Vigilance.
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 strong 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

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