About the Prospect
A energetic 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