Executive - ROC

Jainam Broking Limited

• 3 hours ago
  
  

Location

Surat

Department

ROC - JBL

Employment Type

Full-time

Applications Received

1

Closes On

6 Feb, 2026

Job Description: Executive – ROC (Registrar of Companies) Compliance

Department: Compliance / Secretarial

Location: [Add Location]

Reporting To: Company Secretary / Head–Compliance

Industry: Stock Broking / Capital Markets

• Role Overview
  
  

The Executive – ROC will be responsible for ensuring statutory compliance under the Companies Act, 2013 and assisting in corporate governance activities for a stock broking firm. The role involves timely filing of ROC forms, maintaining statutory registers, supporting Board/Shareholder meetings, and coordinating with auditors, regulators, and internal teams to ensure full compliance with corporate laws and regulations applicable to a brokerage entity.

• Key Responsibilities
• ROC & Companies Act Compliance
• Prepare, review, and file ROC forms and returns such as AOC-4, MGT-7, DIR-3 KYC, PAS-3, MGT-14 etc.
• Maintain and periodically update statutory registers:
• Register of Members
• Register of Directors & KMP
• Register of Share Transfers, Charges, etc.
• Ensure compliance with Companies Act, 2013, relevant Rules, and MCA notifications.
• Monitor due dates and ensure timely statutory filings in MCA portal.
• Draft resolutions, notices, minutes, and supporting documents for Board and General Meetings.
• Stock Broking–Specific Secretarial Compliance Support
• Assist Company Secretary in ensuring compliance related to:
• SEBI regulations (Stock Brokers Regulations, Depositories regulations, etc.)
• Stock Exchange requirements (NSE, BSE, MCX)
• DP (Depository Participant) regulations if applicable.
• Support maintenance of internal compliance records as required for stock broking operations.
• Corporate Governance & Documentation
• Prepare and maintain Board/Committee agenda papers and minutes (Audit Committee, Risk Committee, Investment Committee, etc.).
• Assist in drafting shareholder communications, corporate disclosures, and regulatory submissions.
• Coordinate with auditors (Statutory, Secretarial, Internal) for periodic audits and inspections.
• Coordination & Administrative Responsibilities
• Liaise with MCA, ROC, Consultants, Legal Counsel, and external agencies.
• Support CS in share issuance, capital alteration, appointment/resignation of directors, and KMP filings.
• Ensure proper custody of corporate documents, certificates, seals, statutory registers, and minutes books.
• Skills & Competencies Required
• Strong knowledge of Companies Act, 2013, MCA portal, and ROC compliance.
• Familiarity with SEBI, Stock Exchange, and Depository regulations (preferred).
• Excellent drafting skills for resolutions, notices, minutes, and compliance documents.
• Proficiency in MS Office and compliance software (if used).
• Strong attention to detail and ability to manage timelines.
• Effective communication & coordination skills.
• Qualifications & Experience
• Qualification:
• B.Com / M.Com / LLB preferred
• CS Executive / CS Professional (pursuing or completed) desirable
• Experience:
• 1–3 years in ROC/secretarial compliance
• Experience in stock broking or financial services industry is an added advantage.
• Key Performance Indicators (KPIs)
• Timely filing of all ROC returns without penalties.
• Accuracy of statutory records and documentation.
• Compliance readiness during audits and inspections.
• Quality and timeliness of meeting documentation (resolutions, minutes, notices).
• Effective coordination with internal and external stakeholders.

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