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.