Head - Compliance & Company Secretary

Hiring for: SBI SG Global Securities Services Pvt. Ltd.

Role: Head - Compliance & Company Secretary

Positions: 1

Experience: 15 to 20 years

Location(s): Mumbai

Type: On-site / Permanent

Salary: Up to INR 50 LPA

Head – Compliance & Company Secretary

Role Purpose

To lead and oversee the Compliance and Secretarial functions of the Company, ensuring full regulatory adherence under SEBI, RBI, Companies Act, and other applicable laws, while acting as Company Secretary to the Board and maintaining high standards of corporate governance.

Key Responsibilities

1. Regulatory Compliance & Governance

• Ensure compliance with SEBI regulations applicable to Custodian, Fund Accounting, Trustee, and other regulated activities.
• Oversee compliance under RBI, FEMA, Companies Act 2013, and other applicable statutes.
• Act as Principal Officer / Compliance Officer as required under regulatory frameworks.
• Interface with regulators including SEBI, RBI, MCA, and stock exchanges.
• Lead regulatory inspections, audits, and ensure timely closure of observations.
• Establish and monitor compliance policies, internal controls, and risk mitigation frameworks.

2. Board & Secretarial Responsibilities

• Act as Company Secretary under the Companies Act, 2013.
• Organize and attend Board Meetings, Committee Meetings, and General Meetings.
• Draft agenda notes, minutes, board resolutions, and maintain statutory registers.
• Advise the Board on corporate governance, regulatory changes, and compliance risks.
• Ensure proper documentation and filing of statutory returns with ROC and regulators.

3. Policy & Risk Management

• Develop and update compliance manuals, code of conduct, insider trading policies, AML policies, etc.
• Ensure robust AML / KYC compliance framework in line with regulatory guidelines.
• Monitor compliance testing and internal audit findings.
• Provide compliance advisory to business and operations teams.

4. Stakeholder & Group Coordination

• Coordinate with various teams for group-level governance alignment.
• Support regulatory reporting and group compliance certifications.
• Liaise with external auditors, legal advisors, and consultants.

5. Team Leadership

• Lead and mentor the Compliance & Secretarial team.
• Drive compliance culture and awareness across the organization.

Educational Qualification

• Qualified Company Secretary (Member of ICSI) – Mandatory
• LLB / CA / CS + LLM preferred

Experience

• 15+ years of experience in Compliance & Secretarial functions
• Minimum 5+ years in senior leadership role
• Experience in Custodian, Fund Services, Asset Management, Banking, or Financial Services sector preferred
• Strong exposure to SEBI and RBI regulations