Hiring | Compliance Officer – Merchant Banking / Investment Banking
We are hiring an experienced Compliance Officer to join the Merchant Banking / Investment Banking team of a leading financial services organization.
The ideal candidate will have strong expertise in SEBI regulations, Merchant Banking, Capital Markets and corporate compliance, with the ability to manage regulatory requirements and support transaction execution in a fast-paced investment banking environment.
Key Responsibilities
- Ensure compliance with applicable SEBI regulations, Companies Act, stock exchange requirements and other regulatory frameworks.
- Manage compliance matters relating to Merchant Banking activities and capital-market transactions.
- Monitor and advise on regulatory requirements for IPO, FPO, Rights Issue, QIP, Open Offer and other ECM transactions.
- Review transaction-related documentation from a regulatory and compliance perspective.
- Coordinate with SEBI, stock exchanges, legal counsel, auditors, merchant bankers and other stakeholders.
- Ensure timely completion of regulatory filings, reporting and maintenance of compliance records.
- Monitor internal policies, SOPs and compliance frameworks and ensure regulatory requirements are appropriately implemented.
- Track regulatory developments and assess their impact on business and transactions.
- Support due diligence processes and identify potential compliance and regulatory risks.
- Provide compliance guidance to deal teams and senior management.
- Assist in transaction execution and ensure appropriate regulatory compliance throughout the transaction lifecycle.
- Support regulatory interactions and address compliance-related queries from relevant authorities and stakeholders.
Candidate Profile
- Qualified Company Secretary (CS) preferred.
- Relevant experience in Merchant Banking, Investment Banking, Capital Markets, ECM or Regulatory Compliance.
- Strong understanding of SEBI Merchant Bankers Regulations, ICDR, LODR and other applicable capital-market regulations.
- Practical exposure to ECM transactions and transaction-related compliance will be preferred.
- Strong analytical, documentation and stakeholder-management skills.
- Experience in regulatory interactions and transaction execution will be an advantage.
- Ability to work effectively with senior stakeholders and deal teams in a deadline-driven environment.
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