Compliance Officer- Merchant Banker

Job Description: Compliance Officer

About EXPERT GLOBAL CONSULTANT

www.expertglobal.in

Expert Global is a SEBI registered Merchant Banker based in New Delhi. It offers services related to the financial markets such as IPO management, Business Valuation consultancy, Financial Management and Advisory, Bank Financing and other advisory/ consultancy services related to Securities Market.

About the job

We're looking for a skilled Compliance Officer to join our team at Expert Global Consultant in Netaji Subhash Place, Delhi!

Key Responsibilities

1. Merchant Banker Compliance (Core Role)

Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure.

Prepare and file all monthly, quarterly, and yearly Merchant Banking returns with SEBI and Exchanges.

Ensure full PIT Compliance including SDDB maintenance, trading declarations, DPs monitoring, UPSI controls & reporting.

Monitor adherence to SEBI Merchant Banker Regulations, Due Diligence Certificate (DDC) requirements, and Code of Conduct.

Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation.

Support SEBI / Stock Exchange inspections, prepare responses, and implement corrective actions.

Ensure KYC/AML compliance and proper onboarding records for clients in IPO assignments.

Draft, update, and implement internal compliance policies, PIT policy, SOPs, code of conduct, and merchant banking procedures.

Track SEBI circulars & regulatory updates and implement the required changes across the organization.

2. IPO Compliance & Regulatory Filings

Conduct end-to-end financial, legal, and secretarial due diligence for SME-IPOs.

Ensure compliance with SEBI Regulations, Companies Act, ICDR Regulations, and other laws.

Review DRHP, statutory records, checklists, and corporate documents.

Coordinate timely filing of IPO documents with Exchanges, SEBI, and other regulators.

3. Financial Analysis & Risk Identification

Analyze financial statements, KPIs, QoE reports, working capital cycle, and revenue/expense trends.

Prepare/review CMA data and evaluate financial readiness of IPO-bound clients.

Identify compliance and governance gaps and recommend corrective actions.

4. Client & Regulator Coordination

Work closely with promoters, CFOs, legal advisors, auditors, and due diligence teams.

Assist clients in preparing data rooms for Exchanges, investors, and rating agencies.

Manage IPO timelines, regulatory queries, and documentation workflows.

5. Internal Oversight & Reporting

Lead internal compliance reviews, monitoring, and regulatory reporting.

Maintain records for audits, inspections, and statutory submissions.

Mentor and guide junior team members in compliance tasks.

Requirements Qualification

Qualified Company Secretary (CS)

Minimum 5 years experience in compliance / merchant banking / IPO due diligence

Minimum 2 years mandatory experience in Merchant Banking Certifications

NISM Series IIIA and/or Series IVA (Mandatory)

Skills

Strong understanding of SEBI Regulations, PIT, Merchant Banker Regulations, ICDR & SME IPO Framework

Excellent drafting, analytical, and regulatory interpretation skills

Ability to work independently with multiple clients and strict deadlines.