Company Secretary (Sebi Brokerage Firm)

Talasha · Greater bengaluru area, India

Talasha has been mandated to hire a Company Secretary for an AI enabled brokerage firm registered with SEBI. This early stage startup founded by IITian co-founders is an AI-native personal finance platform for India

As Compliance Officer, you will own the compliance function end-to-end. You will work directly with the founders to set up the processes, records, and filings that a SEBI-registered advisory firm runs on.

Responsibilities-

• SEBI Compliance -Prepare and file periodic compliance reports with SEBI, quarterly and annual.
• Client Documentation -Own client records end-to-end — KYC documentation, risk profiling forms, consent records, and advisory documentation.
• Compliance Audit- Coordinate annual compliance audits with external auditors.
• Board Meetings -Organize and manage Board Meetings, Committee Meetings, and General Meetings including preparation of agendas, notices, minutes, resolutions, and compliance checklists.
• Securities Compliances - Handle compliances related to issuance, transfer, and dematerialization of securities.
• Audit Trail -Ensure every piece of investment advice carries a proper audit trail: risk category, rationale, and suitability check.
• SCORES Portal -Handle client grievance documentation and manage the SCORES portal.
• SEBI Marketing guidelines - Review marketing materials, product copy, and website content against SEBI advertising guidelines before they ship.
• Compliance Calendar -Own the compliance calendar and make sure nothing is missed.
• Track regulatory developments — new circulars, amendments, and filing deadlines — and translate them into what changes for us.
• Support the Principal Officer across client onboarding workflows.
• Partner with product and engineering so compliance requirements are built into the platform rather than bolted on afterwards.

Good to Have -

• Company Secretary with 3-6 years post qualification experience
• Prior experience in a stock brokerage firm with proficiency in SEBI compliances
• Startup mentality & immediate joiner preferred

CTC - Rs. 12-18LPA (Basis last drawn)

Location - Bangalore -Bellandur