About The Opportunity A dynamic player in the Indian merchant banking and financial services sector, we specialize in facilitating capital raising, M&A; advisory, and regulatory compliance for high-growth enterprises and institutional clients.

Our Compliance

Officer plays a pivotal role in safeguarding the firm’s reputation, ensuring adherence to financial regulations, and enabling seamless transaction execution under SEBI, RBI, and FEMA frameworks. Role & Responsibilities

- Monitor and ensure compliance with SEBI, RBI, FEMA, and other applicable financial regulations across merchant banking activities.

- Conduct internal audits and risk assessments to identify compliance gaps and recommend corrective actions.

- Review client onboarding documentation, KYC processes, and transactional workflows to ensure regulatory alignment.

- Prepare and submit statutory reports and disclosures to regulators in a timely and accurate manner.

- Collaborate with legal, finance, and product teams to embed compliance controls into recent offerings and deal structures.





- Conduct compliance training sessions for internal teams and maintain updated compliance policy documentation.

Skills & Qualifications

Must-Have

- SEBI Certified Compliance Officer

- Proficiency in FEMA and RBI guidelines

- Experience with KYC/AML frameworks

- Familiarity with merchant banking operations

- Knowledge of corporate law and securities regulations

- Advanced MS Excel for compliance reporting

Preferred

- CS or CA qualification

- Experience in M&A; or private equity compliance

- Working knowledge of compliance management software (e.g., MyCompliance, ComplyChain)

Benefits & Culture Highlights

- Hybrid workplace with core on-site days in Mumbai/Bangalore

- Direct exposure to high-value transactions and institutional clients

- Structured growth path with certification support and internal mobility

Skills: compliance,institutional,sebi,capital,regulations,aml,teams,documentation,merchant banking,rbi

📌 Compliance Officer (merchant banking/ SEBI/Capital market regulation) (Mumbai)
🏢 CAREERBLOC ~
📍 Mumbai