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

2. 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)

3. 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

4. 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

5. 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

6. 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