Sr Compliance Officer (Merchant Banking-Qualified CS)

Senior Compliance Officer - merchant banking
Location: Mumbai, India
Budget: Up to ₹15 LPA
Experience Level: Senior Level

Key Responsibilities:

• Ensure compliance with regulatory requirements and internal policies for all merchant banking operations.
• Oversee and manage end-to-end IPO mandates, ensuring adherence to legal and regulatory frameworks.
• Conduct regular compliance audits and assessments to identify potential risks and areas for improvement.
• Develop and implement compliance programs and training for staff to promote a culture of compliance.
• Liaise with regulatory authorities and ensure timely submission of necessary documentation.
• Monitor changes in regulations and assess their impact on the company’s operations.
• Prepare compliance reports for senior management and the board of directors.

Qualifications:

• Mandatory: Qualified Company Secretary (CS).
• Minimum of 3 years of experience in a listed merchant banking company.
• Proven experience in managing IPO mandates from inception to completion.
• Strong understanding of compliance regulations in the financial sector.
• Excellent analytical and problem-solving skills.
• Strong communication and interpersonal skills.

Why Join Us:

• Opportunity to work in a dynamic environment with a leading merchant banking firm.
• Competitive salary and benefits package.
• Professional growth and development opportunities.