Associate Secretarial & Compliance | Mumbai

About Our Company TSS Consultancy is a rapidly growing product-based company dedicated to delivering comprehensive solutions tailored to the unique needs of Fintech and Regtech organizations. Our mission is to fight financial crime through innovation and expertise. With a keen understanding of the market, we have developed cutting-edge products that set us apart in the industry.

Our commitment to excellence has earned us the trust and partnership of some of the most prestigious institutions. We proudly serve 9 out of the top 10 brokers, 4 out of the top 5 private sector banks, and 3 out of the top 4 exchanges. Our client portfolio extends further, including leading financial institutions and regulatory bodies, reinforcing our reputation as a reliable and forward-thinking partner.

We have our vibrant offices in the cities of Mumbai, Rajkot and Gandhinagar. In our growing presence we currently have our clients across India, South Africa and USA. For more information : www.trackwizz.com

1. Secretarial & Legal Role Board & Committee Governance

• Manage the end-to-end meeting lifecycle (notices, agendas, and resolutions) for the Board of Directors and statutory committees (Internal Compliance Committee, CSR, etc.)
• Act as the secretarial lead for internal forums and internal Management Committees Minutes & Registers
• Draft detailed minutes and maintain all statutory registers in adherence to Secretarial Standards (SS-1 & SS-2) Statutory Compliance
• Actively track and execute all periodic filings, renewals, and secretarial compliances – 100% Complaince
• Ensure all statutory obligations are met well within prescribed timelines through rigorous follow-ups and documentation
• Establish and maintain a robust Compliance Dashboard to monitor regulatory and statutory deadlines
• Coordinate and interact with Directors and Shareholders; manage and conduct Board Meetings and Shareholder meetings Legal Support
• Assist to Draft, review, and vet commercial contracts, NDAs, and service agreements
• Assist to Maintain the company's centralized contract repository and ensure timely renewals of all agreements

1. Securities Issuance & ESOP Process Management ESOP Administration

• Execute the full ESOP lifecycle, including scheme drafting, grant letter issuance, tracking vesting/exercise schedules, and maintaining Forms/Registers Corporate Actions
• Coordinate with RTAs and Depositories (NSDL/CDSL) for share dematerialization, cap table updates, and processing allotments Statutory Filings
• Prepare and file Form PAS-3 (Return of Allotment) and other securities-related filings with the Registrar of Companies (ROC)

1. Customer Compliance, Empanelment Management & Due Diligence Empanelment Lifecycle

• Lead the annual review, completion, and resubmission of customer empanelment forms and compliance declarations to ensure uninterrupted business Customer Audits
• Serve as the primary liaison for customer-led audits; document and present evidence regarding the company's compliance frameworks and IT security measures Due Diligence
• Promptly Respond to Customer Due Diligence and KYC requests to facilitate onboarding

1. CSR Compliance & Reporting

• Monitor CSR eligibility and project-wise spend to ensure compliance with Section 135 of the Companies Act
• Prepare Annual Report on CSR for inclusion in the Board's Report and manage CSR disclosures on the company website
• Collect and verify utilization certificates from implementing partners and agencies

1. Compliance Coordination & Audit Support Customer Compliance Requests

• Receive and process customer compliance checklists and questionnaires
• Provide accurate and timely responses to customer compliance inquiries
• Coordinate with internal teams (Security, Operations, Engineering) to gather required compliance information
• Verify accuracy of all compliance responses before submission On-Site Audit Coordination
• Assist in coordinating customer on-site audit and inspection activities
• Brief internal teams on audit requirements and scope
• Prepare audit documentation packages and ensure required materials are available
• Facilitate communication between customer audit teams and relevant internal stakeholders SOC & ISO Assessment Assistance
• Assist in coordinating internal SOC 2 and ISO assessment activities
• Assist with information requests and evidence gathering from internal teams for SOC/ISO audits
• Support documentation schedule and help coordinate submission of required materials to external auditors
• Maintain SOC/ISO assessment timeline documentation Compliance Documentation
• Assist in maintaining organized compliance documentation library
• Create audit trails for compliance responses and submissions

1. Research & Regulatory Updates

• Proactively research updates and amendments across Companies Act, SEBI, FEMA, Labor Laws, Data Privacy rules, and industry compliance frameworks
• Prepare 'Compliance Alerts' or internal memos detailing operational impact of new legal requirements on the business Minimum Commerce Graduate Company Secretary or CS Finalist preferred Experience/exposure to Board Management, ESOP process, and compliance coordination frameworks is valuable Technical Skills
• Advanced skills for drafting, formatting, and version control of documents
• Proficient in spreadsheets for tracking ESOP vesting, cap tables, CSR budgets, and compliance tracking
• Email Communication: High level of professional email etiquette for liaising with customers, auditors, and regulators Key Attributes
• Attention to detail and accuracy
• Ability to handle confidential information with discretion
• Disciplined approach to regulatory and statutory compliance
• Strong organizational and project management skills
• Excellent written and verbal communication skills
• Proactive approach to identifying and resolving compliance issues
• Good interpersonal skills with ability to work effectively across departments