Senior Manager Merchant Banking & Compliance

SUMMARY

The role requires a versatile Mid-Level Resource to join our Merchant Banking division. This role is designed for a professional who bridges the gap between high-level transaction execution and rigorous regulatory oversight. The ideal candidate will possess a dual-lens approach: the ability to drive deal milestones forward while ensuring every step adheres to the strictest SEBI and Exchange frameworks.

PRIMARY DUTIES & RESPONSIBILITIES

- Transaction Management & Execution: Lead the day-to-day execution of equity capital market mandates (IPOs, Rights Issues, Private Placements). This includes managing the drafting of offer documents, coordinating with legal counsel, and ensuring timely filing of all regulatory litany.

- Core Compliance Oversight: Act as the primary gatekeeper for regulatory adherence. You will monitor all merchant banking activities to ensure 100% compliance with SEBI (ICDR), SEBI (SAST), and SEBI (PIT) Regulations.

- Liaison & Reporting: Serve as the point of contact for SEBI and Stock Exchange queries. Responsible for the submission of periodic reports, due diligence certificates, and post-issue monitoring reports.

- Risk Assessment: Conduct thorough Know Your Client (KYC) and anti-money laundering (AML) checks on prospective issuers and promoters to safeguard the firm's institutional reputation.

- Internal Audits: Oversee internal compliance audits of the Merchant Banking unit and update internal manuals to reflect the latest changes in the regulatory landscape.

TIME RECORDING:

- Accurately record chargeable time and value of service, ensure effective monitoring of transactions, handle pricing, invoicing and collection of outstanding fees for the portfolio of clients. - Monitor own productivity and chargeability on weekly basis and review productivity and performance against targets. to ensure that individual financial targets and client communication KPIs are met.

- Follow a disciplined approach to submitting timesheets for client work and meet the weekly and monthly time/ chargeability targets

OTHER DUTIES

- Undertake the role of director, trustee, nominee, manager, partner, secretary, authorized signatory or any related position in internal entities or client entities of Amicorp Group, where necessary and required by the Management.

- Undertake such other duties, as may from time to time, be required by the Management or/ and Group Human Resources.

CANDIDATE PROFILE

- Professional Credentials: CA, MBA (Finance), or CFA. A Company Secretary (CS) qualification is a significant advantage for the compliance aspect of this role.

- Tenure: Minimum 5 years of core experience within a Category 1 Merchant Banker.

- Specialization: Proven experience in both transaction execution and regulatory compliance/secretarial functions.

- Comprehensive understanding of the SEBI manual and the Companies Act, 2013.

- Hands-on experience in preparing and reviewing Draft Red Herring Prospectuses (DRHP).

- Ability to interpret complex regulatory circulars and translate them into actionable business processes.

- Meticulous attention to detail with an uncompromising stance on ethics and accuracy.

- Strong communication skills, capable of explaining technical compliance requirements to non-technical stakeholders.

- A proactive mindset focused on problem-solving through compliance rather than just identifying roadblocks.

- Successful and timely filing of offer documents with zero regulatory observations.

- Maintaining a 100% clean compliance track record for the unit.

- Efficient management of the due diligence process to reduce transaction turnaround time.

-Strong commercial mindset, takes initiative, positive and proactive, dedicated, focused and revenue and target driven.

- Excellent organizational, interpersonal and communication skills.

- Excellent client facing skills. Well-developed spoken and written communication skills and the ability to tailor style to relevant audiences and successfully liaise with people at different levels. Excellent English language fluency; additional languages preferred.

- Strong analytical and problem-solving skills, solution driven, highly organized and detail-orientated with good decision making and time management skills. Independent, hands-on and takes accountability to deliver solutions and results.

- Ability to adapt and work in a smaller, dynamic local team environment; along with being part of a bigger matrix organization. Proven leadership and team player skills, with ambition to excel in the role.