Compliance Officer -- ECM/ IPO / M&A

Compliance Officer – Investment Banking

Department: Investment Banking

Location: Mumbai

Experience: 3–4 Years

Function: Compliance / Investment Banking

About the Role

Dolat Capital is looking for an experienced Compliance professional to join its Investment Banking team. The role will involve supporting corporate governance, regulatory compliance, transaction documentation, due diligence and compliance advisory for Investment Banking transactions.

The candidate will work closely with internal teams, clients, legal advisors, merchant bankers, stock exchanges and regulatory authorities. The role requires strong knowledge of the Companies Act, SEBI regulations and capital-market transactions, along with strong coordination, documentation and compliance skills.

Key Responsibilities

Regulatory & Transaction Compliance

* Support regulatory and compliance requirements for Investment Banking transactions.

* Review transaction structures and documentation from a regulatory and compliance perspective.

* Ensure compliance with applicable SEBI regulations, Companies Act and other relevant capital-market regulations.

* Assist with regulatory filings, submissions and transaction-related documentation.

* Support compliance requirements across IPOs, QIPs, Rights Issues, Preferential Issues, M&A and other capital-market transactions.

Corporate Governance & Secretarial Matters

* Support corporate governance and secretarial requirements related to transactions.

* Assist in preparation and review of board, shareholder and transaction-related documentation.

* Coordinate with internal stakeholders and external advisors on governance and regulatory matters.

* Maintain appropriate records and documentation for regulatory and audit requirements.

Due Diligence & Transaction Support

* Support legal and regulatory due diligence for Investment Banking transactions.

* Review relevant corporate, regulatory and transaction documents.

* Identify potential compliance issues and coordinate with relevant stakeholders for resolution.

* Assist in preparing compliance checklists, reports and transaction documentation.

Stakeholder Coordination

* Coordinate with clients, promoters, legal advisors, merchant bankers, auditors, stock exchanges and regulatory authorities.

* Support the Investment Banking team in responding to regulatory and compliance queries.

* Ensure timely completion of compliance-related activities and transaction deliverables.

Qualifications & Experience

* CA / CS / LLB / MBA (Finance) or equivalent qualification preferred.

* 3–4 years of relevant experience, with at least 3 years in Investment Banking, Capital Markets, NBFC or Financial Services.

* Strong knowledge of Companies Act, SEBI regulations and capital-market transactions.

* Experience in transaction compliance, due diligence and regulatory documentation preferred.

Key Skills & Attributes

* Strong understanding of regulatory and compliance requirements.

* Good knowledge of SEBI regulations and Companies Act.

* Strong documentation and analytical skills.

* Excellent coordination and stakeholder-management skills.

* Strong attention to detail and ability to work with tight transaction timelines.

* Good communication and problem-solving skills.

* Ability to manage multiple transaction-related workstreams.

* High level of integrity, ownership and accountability.

Preferred Experience

Candidates with prior experience in Investment Banking, Merchant Banking, Capital Markets or a financial-services environment, particularly with exposure to ECM transactions and transaction compliance, will be preferred.

Success Measures

* Timely and accurate completion of transaction compliance requirements.

* Quality of regulatory and transaction documentation.

* Effective coordination with internal and external stakeholders.

* Timely identification and resolution of compliance issues.

* Successful support of Investment Banking transactions from a regulatory and compliance perspective.