| Job Responsibilities |
The role will include but not limited to the following: –
- Ensuring end to end compliance with provisions of the Companies Act 2013 and all acts / regulations pertaining to Merchant Banker.
- Ensuring compliance under SEBI (Merchant Banking) Regulations, SEBI (Prohibition of Insider Trading) Regulations and all other applicable law to Merchant Banker.
- Understanding and implementing compliance frameworks concerning Chinese Walls, Wall Crossing, Insider Information, and other investment banking and equities business dynamics to ensure a robust compliance environment
- Managing the Audit and other requirements of the license / membership pertaining to the company on an end-to-end basis across multiple products.
- 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.
- 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)
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| Ideal Candidate Profile :
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Education:
- CS/LLB from reputed institutes will be preferred
Experience:
- Minimum of 3+ years of experience in the compliance domain / department. Experience in Merchant Banking compliance domain will be advantage.
Competencies:
- Well versed with guidelines/regulations of SEBI, Companies Act, FEMA, tc required for execution of Capital Markets transactions.
- Deep understanding of equity capital markets, IPOs, follow-ons, rights issues, and other equity financing methods.
- Good knowledge of Microsoft Office Suite (Excel, Word)
- Excellent verbal and written communication skills, with the ability to present and negotiate at all organizational levels.
- Self-motivated, with a strong desire to learn and deliver
Skills:
- Self-driven and Dynamic
- Able to think out-of-box and come up with innovate ideas
- Excellent written and oral communication skills in English
- Results oriented
- Problem solving skills
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