Compliance Officer (merchant banking/ SEBI/Capital market regulation)

• About the Opportunity
• A dynamic player in the Indian merchant banking and financial services sector, we specialize in facilitating capital raising, M&A advisory, and regulatory compliance for high-growth enterprises and institutional clients. Our Compliance Officer plays a pivotal role in safeguarding the firm’s reputation, ensuring adherence to financial regulations, and enabling seamless transaction execution under SEBI, RBI, and FEMA frameworks. Role & Responsibilities

Monitor and ensure compliance with SEBI, RBI, FEMA, and other applicable financial regulations across merchant banking activities.

Conduct internal audits and risk assessments to identify compliance gaps and recommend corrective actions.

Review client onboarding documentation, KYC processes, and transactional workflows to ensure regulatory alignment.

Prepare and submit statutory reports and disclosures to regulators in a timely and accurate manner.

Collaborate with legal, finance, and product teams to embed compliance controls into new offerings and deal structures.

Conduct compliance training sessions for internal teams and maintain updated compliance policy documentation.

Skills & Qualifications

Must-Have

SEBI Certified Compliance Officer

Proficiency in FEMA and RBI guidelines

Experience with KYC/AML frameworks

Familiarity with merchant banking operations

Knowledge of corporate law and securities regulations

Advanced MS Excel for compliance reporting

Preferred

CS or CA qualification

Experience in M&A or private equity compliance

Working knowledge of compliance management software (e.g., MyCompliance, ComplyChain)

Benefits & Culture Highlights

Hybrid workplace with core on-site days in Mumbai/Bangalore

Direct exposure to high-value transactions and institutional clients

Structured growth path with certification support and internal mobility