Compliance Executive

Quality & Compliance (Secretarial and FEMA)

Key Responsibilities

• Quality Review of Documents

• Review secretarial and regulatory documents before filing to ensure accuracy, completeness, and compliance with applicable laws and regulations.

• Review incorporation documents including SPICe+, e-MoA, e-AoA, AGILE-PRO-S, INC-9, DIR-2, registered office proofs, and LLP incorporation forms.

• Review annual ROC filings such as AOC-4, MGT-7/MGT-7A, ADT-1, DIR-3 KYC, DPT-3, MSME-1, and LLP Forms 8 and 11.

• Review event-based ROC filings, including INC-20A, INC-22, DIR-12, PAS-3, SH-7, MGT-14, CHG-1, BEN-2, STK-2, and relevant LLP forms.

• Verify board and general meeting notices, minutes, resolutions, statutory registers, and share issue documentation.

• Review FEMA-related filings, including FC-GPR, FC-TRS, LLP-I, LLP-II, Form DI, Form ODI, APR, ECB-2, and FLA returns.

• Verify names, DIN/DPIN, capital details, shareholding, dates, authorised signatories, supporting documents, and attachments against source records.

• Conduct 100% quality checks for high-risk filings, particularly FEMA reporting, share allotments, and charge-related filings, along with defined sampling checks for routine filings.

• Monitor statutory filing deadlines and identify discrepancies that may lead to resubmissions, penalties, or additional fees.

• Quality Reporting and Founder Coordination

• Report directly to the Founder on quality, compliance risks, and recurring filing errors.

• Prepare weekly quality reports covering filings reviewed, error rates by team and form, resubmissions, and late fees.

• Escalate critical errors or compliance risks promptly and recommend corrective actions.

• Maintain an error log to track discrepancies by team, form type, and root cause.

• Team Training and Development

• Conduct induction training for new joiners on incorporation, ROC compliance, and FEMA processes.

• Organise monthly refresher sessions based on recurring errors and process gaps.

• Communicate relevant regulatory updates issued by the MCA, RBI, and ICSI, and ensure checklists are updated accordingly.

• Assess team members’ readiness before authorising them to independently handle specific filing types.

• SOPs, Checklists, and Regulatory Compliance

• Develop and maintain standardised quality-checking checklists for each form and service line.

• Create, review, and update SOPs, templates, and internal quality-control procedures.

• Track amendments to the Companies Act, 2013, LLP Act, 2008, applicable FEMA regulations, and Secretarial Standards.

• Ensure internal processes remain aligned with applicable statutory and regulatory requirements.

• Process Improvement and Automation

• Identify recurring errors and implement preventive measures to address their root causes.

• Collaborate with delivery teams to improve filing accuracy and operational efficiency.

• Work with the product and technology teams to convert manual checklists into system validations and automated pre-filing checks.

• Exercise quality-control authority to hold or escalate filings that do not meet the required accuracy and compliance standards until the issues are resolved.