SUMMARY
The role requires a versatile Mid-Level Resource to join our Merchant Banking division. This role is designed for a skilled who bridges the gap between high-level transaction execution and rigorous regulatory oversight. The ideal candidate will possess a "dual-lens" approach: the ability to drive deal milestones forward while ensuring every step adheres to the strictest SEBI and Exchange frameworks.
PRIMARY DUTIES & RESPONSIBILITIES
- Transaction Management & Execution: Lead the day-to-day execution of equity capital market mandates (IPOs, Rights Issues, Private Placements). This includes managing the drafting of offer documents, coordinating with legal counsel, and ensuring timely filing of all regulatory litany.
- Core Compliance Oversight: Act as the primary gatekeeper for regulatory adherence. You will monitor all merchant banking activities to ensure 100% compliance with SEBI (ICDR), SEBI (SAST), and SEBI (PIT) Regulations.
- Liaison & Reporting: Serve as the point of contact for SEBI and Stock Exchange queries. Responsible for the submission of periodic reports,
due diligence certificates, and post-issue monitoring reports.
- Risk Assessment: Conduct thorough "Know Your Client" (KYC) and anti-money laundering (AML) checks on prospective issuers and promoters to safeguard the firm's institutional reputation.
- Internal Audits: Oversee internal compliance audits of the Merchant Banking unit and update internal manuals to reflect the latest changes in the regulatory landscape.
TIME RECORDING:
- Accurately record chargeable time and value of service, ensure effective monitoring of transactions, handle pricing, invoicing and collection of outstanding fees for the portfolio of clients. - Monitor own productivity and chargeability on weekly basis and review productivity and performance against targets. to ensure that individual financial targets and client communication KPIs are met.
- Follow a disciplined approach to submitting timesheets for client wor