StockHolding Services Limited

Careers

Company Secretary

Department : Secretarial and Legal

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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Company Secretary

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