Executive - ROC

Role summary

This position sits within the compliance and secretarial function and supports statutory obligations for a stock broking business. The person in this role will help ensure that filings, records, governance paperwork, and regulatory coordination are completed accurately and on time under the Companies Act, 2013 and related corporate law requirements.

Core responsibilities

You will handle ROC compliance work, maintain statutory records, and assist with board and shareholder processes. The role also includes coordination with auditors, regulators, consultants, and internal stakeholders to keep the organisation aligned with legal and governance requirements.

• Prepare, review, and submit ROC filings and returns such as AOC-4, MGT-7, DIR-3 KYC, PAS-3, and MGT-14.
• Keep statutory registers updated, including the register of members, directors and KMP, share transfers, charges, and other required records.
• Track compliance deadlines and ensure filings are completed through the MCA portal within due dates.
• Draft resolutions, notices, minutes, and other documents needed for board and general meetings.
• Support secretarial compliance related to SEBI rules, stock exchange requirements such as NSE, BSE, and MCX, and depository participant regulations where applicable.
• Help maintain internal compliance records used in stock broking operations.
• Prepare agenda papers and minutes for board and committee meetings, including audit, risk, and investment committees.
• Assist with shareholder communications, corporate disclosures, and regulatory submissions.
• Coordinate with statutory, secretarial, and internal auditors for audits and inspections.
• Work with MCA, ROC, consultants, legal advisors, and external agencies as needed.
• Support filings and documentation for share issues, capital changes, director appointments or resignations, and KMP updates.
• Safeguard corporate documents, certificates, seals, statutory registers, and minutes books.

Requirements and skills

The role calls for strong knowledge of the Companies Act, 2013, MCA processes, and ROC compliance. Preference is given to candidates who also understand SEBI, stock exchange, and depository regulations. Good drafting ability, attention to detail, and the ability to manage deadlines are important, along with strong communication and coordination skills. MS Office proficiency is expected, and familiarity with compliance software is useful if available.

• Sound understanding of Companies Act, 2013, related rules, and MCA compliance procedures.
• Experience with ROC filings and statutory record maintenance.
• Preferred exposure to SEBI, exchange, and depository regulations in a brokerage or financial services environment.
• Ability to draft professional resolutions, notices, minutes, and compliance documents.
• Comfort with MS Office and any compliance tools used by the organisation.
• Strong attention to detail and deadline management.
• Clear communication and effective stakeholder coordination.

Qualifications and experience

A background in B.Com, M.Com, or LLB is preferred. Candidates who are pursuing or have completed CS Executive or CS Professional are also desirable. The organisation is looking for someone with 1 to 3 years of experience in ROC or secretarial compliance, with added value coming from prior work in stock broking or financial services.

Performance expectations

Success in this role will be measured by timely ROC filings without penalties, accurate statutory records, readiness for audits and inspections, well-prepared meeting documents, and smooth coordination with internal and external parties.

Additional details

This is a full-time position based at the head office. The department is ROC - JBL, and the role reports to the Company Secretary or Head of Compliance. The industry focus is stock broking and capital markets. The listing indicates that one application had been received and that the closing date for applications is 3 Aug, 2026.