Compliance Officer – Investment Banking
Department: Investment Banking
Location: Mumbai
Experience: 3–4 Years
Function: Compliance / Investment Banking
About the Role
Dolat Capital is looking for an experienced Compliance skilled to join its Investment Banking team. The role will involve supporting corporate governance, regulatory compliance, transaction documentation, due diligence and compliance advisory for Investment Banking transactions.
The candidate will work closely with internal teams, clients, legal advisors, merchant bankers, stock exchanges and regulatory authorities. The role requires robust knowledge of the Companies Act, SEBI regulations and capital-market transactions, along with strong coordination, documentation and compliance skills.
Key Responsibilities
Regulatory & Transaction Compliance
* Support regulatory and compliance requirements for Investment Banking transactions.
* Review transaction structures and documentation from a regulatory and compliance perspective.
* Ensure compliance with applicable SEBI regulations,



Companies Act and other relevant capital-market regulations.
* Assist with regulatory filings, submissions and transaction-related documentation.
* Support compliance requirements across IPOs, QIPs, Rights Issues, Preferential Issues, M&A; and other capital-market transactions.
Corporate Governance & Secretarial Matters
* Support corporate governance and secretarial requirements related to transactions.
* Assist in preparation and review of board, shareholder and transaction-related documentation.
* Coordinate with internal stakeholders and external advisors on governance and regulatory matters.
* Maintain appropriate records and documentation for regulatory and audit requirements.
Due Diligence & Transaction Support
* Support legal and regulatory due diligence for Investment Banking transactions.
* Review relevant corporate, regulatory and transaction documents.
* Identify potential compliance issues and coordinate with relev

📌 Compliance Officer (Mumbai)
🏢 Dolat Capital
📍 Mumbai