Compliance Manager Merchant Banking
Compliance Manager Merchant Banking
Posted on :
23-05-2025
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1 Vacancy
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Job Description
We are looking out for a diligent law-abiding ethical and meticulous Compliance Officer to join a leading mid market investment bank.
Responsibilities
- Ensuring end to end compliance with provisions of the Companies Act 2013 and all acts / regulations pertaining to capital market intermediaries.
- Managing the Audit and other requirements of the license / membership pertaining to the company on a end to end basis across multiple products.
- Ensuring compliance under SEBI (Merchant Banking) Regulations SEBI (Prohibition of Insider Trading) Regulations and all other applicable law to Merchant Banker.
- Any other compliance matters as assigned from time to time.
- Identify and implement compliance new circulars / regulatory requirements / discuss and provide feedback & impact analysis or respond to discussion papers / proposed guidelines / changes as expected to be coming on the fore.
- Candidate should be able to communicate well at all levels and directly engage with Board of Directors and Managing Director and with all regulators on all compliance / audit related aspects.
- Vetting executing commercial / legal agreements / vendor agreement contracts / MOU/ notices Non - disclosure Agreements / Engagement Letters / Referral agreements etc. (as needed to support the legal team on specific transactions)
Qualifications
- Qualification LLB CS
- Experience in the Merchant banking compliance domain.
- Understanding of compliance aspects like Chinese walls wall crossing and insider information.
- 8 to 10 years of experience in the compliance domain / department independently leading the team for at least 5 years.
legal agreements,regulatory compliance,merchant banking,capital markets,audit management,compliance management,regulations,companies act,insider trading regulations,compliance,merchant banking compliance,communication skills
Employment Type
Full Time
Key Skills
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