Company Secretary (Sebi Brokerage Firm)

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-

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

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• Company Secretary with 3-6 years post qualification experience
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• Prior experience in a stock brokerage firm with proficiency in SEBI compliances
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• Startup mentality & immediate joiner preferred
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CTC - Rs. 12-18LPA (Basis last drawn)

Location - Bangalore -Bellandur