Senior Compliance Officer - merchant banking

Location: Mumbai, India

Budget: Up to ₹15 LPA

Experience Level: Senior Level

Key Responsibilities

- Ensure compliance with regulatory requirements and internal policies for all merchant banking operations.

- Oversee and manage end-to-end IPO mandates, ensuring adherence to legal and regulatory frameworks.

- Conduct regular compliance audits and assessments to identify potential risks and areas for improvement.

- Develop and implement compliance programs and training for staff to promote a culture of compliance.

- Liaise with regulatory authorities and ensure timely submission of necessary documentation.

- Monitor changes in regulations and assess their impact on the company’s operations.

- Prepare compliance reports for senior management and the board of directors.

Qualifications

- Mandatory:



Qualified Company Secretary (CS).

- Minimum of 3 years of experience in a listed merchant banking company.

- Proven experience in managing IPO mandates from inception to completion.

- Strong understanding of compliance regulations in the financial sector.

- Excellent analytical and problem-solving skills.

- Strong communication and interpersonal skills.

Why Join Us

- Opportunity to work in a dynamic environment with a leading merchant banking firm.

- Competitive salary and benefits package.

- Qualified growth and development opportunities.

Skills: adherence,operations,ipo,sebi regulations,compliance,merchant banking,regulations,quaified company secretary,cs

📌 Sr Compliance Officer (Merchant Banking-Qualified CS) (Parel)
🏢 GLOBELANCE
📍 Parel