Compliance Officer - Investment Banking/Merchant Banking

Position Summary:

- This position will play a pivotal role in ensuring the company's legal soundness, governance excellence and full compliance with SEBI and other regulatory bodies.

- The Compliance Officer will be responsible for overseeing, implementing, and monitoring all compliance-related functions for a SEBI-registered Merchant Banker engaged in Equity Capital Markets (ECM), Private Equity (PE) syndication, M&A advisory, and other corporate advisory services. The role requires ensuring strict adherence to SEBI, RBI, Companies Act and other applicable regulations, internal policies, and industry best practices.

- This position involves close coordination with internal teams, regulators, clients, auditors, and external agencies to ensure full regulatory compliance and smooth functioning of merchant banking operations.

Qualifications & Skills:

- Graduate/Postgraduate in Law, Commerce, or related field; LLB/CS preferred.

- Strong knowledge of SEBI regulations and ECM/PE/M&A processes.

- Proven experience in transactional documentation, regulatory audits and policy implementation.

- Excellent drafting, communication and negotiation skills.

- High ethical standards, attention to detail and ability to work in a high-paced, regulated environment.

- Strong stakeholder management - ability to liaise with internal teams, regulators and external counsels effectively.

- Prior experience handling SEBI inspections, IPO documentation and regulatory filings preferred.

Key Responsibilities:

1. Regulatory Compliance (Investment & Merchant Banking)

- Ensure compliance with SEBI Merchant Banking Regulations, Companies Act ICDR, LODR, PIT, Takeover Code, and all applicable circulars and regulations for Investment Banking and Merchant Banking activities.

- Oversee compliance checks for IPO, QIP, Rights Issue, Buyback, Open Offer, PE and M&A transactions.

- Manage regulatory filings (including submissions to SEBI and other regulators), reports, disclosures, and responses to SEBI/Stock Exchange queries.

- Handle SEBI inspections, SEBI Risk Supervision exercises, registration renewals and regulatory audits.

- Implement internal compliance policies, SOPs, KYC/AML processes, and maintain statutory records.

- Maintain and update SDD (Structured Digital Database), Grey Lists and Restricted Lists; oversee insider trading compliance and trade approvals.

- Prepare and implement Advisory, Merchant Banking, and Underwriting Policies, address investor grievance redressal for MB transactions.

- Provide regulatory advice to business teams and clients on MB regulations, deals and compliance requirements.

- Conducting training for the employees to create awareness on compliance requirements.

2. Legal & Transactional Support

- Draft, review and negotiate transactional documents such as:

- Engagement Letters, NDAs, Issue/Offer/Placement Agreements, Escrow Agreements, Underwriting and Syndicate Agreements, Letter of Indemnities, Offer Documents, Registrar Agreements and Service Provider Contracts.

- Support IPOs, Rights Issues, Buybacks, Delisting Offers and other capital market transactions.

- Support transaction teams with compliance requirements and review of documentation and transaction related agreements.

- Maintain a repository of SEBI orders, adjudication rulings, court judgments and informal guidance relevant to Merchant Banking.

- Draft and review demand notices for fee recovery and other operational documents.

- Internal inspection of ECM transactions to ensure complete preparedness before SEBI inspections.

- Coordinate with regulators, legal advisors, auditors, and internal stakeholders on compliance matters.

3. Compliance Monitoring & Risk Management

- Monitor internal policies, procedures and business processes to ensure adherence to internal compliance frameworks.

- Track regulatory circulars, notifications and guidelines; circulate updates to concerned teams.

- Prepare AML (Anti-Money Laundering) reports and maintain compliance trackers.

- Manage internal compliance dashboards and ensure prompt closure of audit observations.

Work Environment:

- Be part of a reputed and fast-growing Investment Banking platform.

- Work on marquee IPOs, M&A, and Capital Market deals.

- Collaborate with top professionals in finance and law.

- Drive impact through governance, compliance, and ethical leadership.