Role & responsibilities

Hiring | Compliance Officer Merchant Banking / Investment Banking

We are looking for an experienced Compliance Officer to join our Merchant Banking / Investment Banking team.

The ideal candidate will have strong knowledge of SEBI regulations, merchant banking regulations, capital markets and corporate compliance, with the ability to manage regulatory requirements in a fast-paced investment banking environment.

Key Responsibilities:
- Ensure compliance with applicable SEBI, Companies Act, stock exchange and other regulatory requirements.
- Handle compliance matters relating to Merchant Banking activities and capital-market transactions.
- Monitor and advise on regulatory requirements for IPO, FPO, Rights Issue, QIP, Open Offer and other ECM transactions.
- Review transaction-related documentation from a regulatory and compliance perspective.
- Coordinate with SEBI, stock exchanges, legal counsel, auditors, merchant bankers and other stakeholders.
- Ensure timely regulatory filings,



reporting and maintenance of compliance records.
- Monitor internal policies, SOPs, compliance frameworks and regulatory updates.
- Support due diligence and identify potential compliance and regulatory risks.
- Provide compliance guidance to deal teams and senior management.
- Track and implement changes in applicable SEBI regulations, circulars and guidelines.
- Assisting in transaction execution.

Candidate Profile:
- Qualified Company Secretary (CS) preferred.
- Relevant experience in Merchant Banking, Investment Banking, Capital Markets, ECM or Regulatory Compliance.
- Robust understanding of SEBI Merchant Bankers Regulations, ICDR, LODR and other capital-market regulations.
- Excellent analytical, documentation and stakeholder-management skills.
- Experience in handling regulatory interactions and transaction execution will be an advantage.

📌 Compliance Officer Merchant Banking (Mumbai)
🏢 Intellectual Capital HR Consulting
📍 Mumbai