Job Description

Job Description for Associate – Equity Capital Markets

Location-Mumbai

About This Role

We are looking for an Associate – Equity Capital Markets to drive the end-to-end execution of IPO, QIP, OFS and other equity capital market transactions.

This role will work closely with internal teams and external stakeholders to manage due diligence, transaction documentation, regulatory filings, offer-related materials, data collection, and transaction timelines.

The ideal candidate should have strong experience in Corporate Finance execution related to Equity Capital Markets, with a sound understanding of SEBI regulations, Companies Act, 2013, and key ECM processes, along with strong analytical, numerical, coordination, and stakeholder management skills.

Responsibilities

· Lead end-to-end execution of IPO, QIP, OFS and other equity capital market transactions.

· Undertake due diligence activities, including review and analysis of financial, business, legal and operational information.

· Prepare, review and coordinate transaction documentation, regulatory filings and offer-related materials.

· Coordinate with internal teams and external stakeholders on data collection, documentation, regulatory requirements and transaction timelines.

Requirements

· Well versed with key regulations, including SEBI (ICDR) Regulations, SEBI (LODR) Regulations, Companies Act, 2013, and other relevant SEBI Regulations, with a willingness to develop deeper regulatory expertise on the job.

· Well-developed professional network and established relationships with key ECM stakeholders, including SEBI, stock exchanges, legal counsels, auditors and other transaction advisors, with demonstrated ability to engage with mid-level stakeholders independently.

· Strong analytical, numerical and problem-solving skills, with a keen attention to detail.

· Ability to work effectively in a fast-paced, team-oriented workplace with minimal supervision.

· Proficiency in MS Office, particularly Excel, Word and Power Point.

· Ability to organize, prioritize and track multiple concurrent tasks and assignments, including in situations involving frequent changes in priorities.





· Strong written and verbal communication skills and ability to coordinate effectively with multiple stakeholders.

· High level of ownership, responsiveness and commitment to meeting tight transaction timelines.

· Willingness to travel as required.

Role Requirement (Qualification & Experience)

· 3-5 years preferably in an Investment Bank with experience of Corporate Finance execution related to Equity Capital Markets.

MBA / CA / CS / LLB with relevant experience.
Requirements
The Principal Officer will act as the key managerial person responsible for the overall functioning of the fund management entity, ensuring compliance, governance, and financial discipline in line with IFSCA and SEBI AIF regulations. The role demands a seasoned professional with a strong background in Compliance, Legal, Accounting, and Fund Operations, who can act as a bridge between management, investors, and regulators, and play an active role in the Investment Committee (IC) to ensure sound governance and decision-making. Key Responsibilities Regulatory & Compliance Management • Ensure full compliance with IFSCA (Fund Management) Regulations, 2022, and SEBI (AIF) Regulations, 2012. • Develop and maintain a robust compliance and governance framework for fund operations. • Oversee preparation, review, and submission of all regulatory filings, returns, and disclosures to IFSCA / SEBI / MCA. • Monitor circulars, updates, and policy changes issued by regulators and ensure internal alignment. • Maintain an effective compliance monitoring system, compliance manual, and SOPs. Legal & Governance • Oversee all legal documentation including fund trust deeds, contribution agreements, side letters, and service-level contracts. • Liaise with external legal counsel and trustees for documentation and fund structuring matters.



• Provide legal interpretation and advice on AIF, Companies Act, FEMA, and other applicable frameworks. • Support Board and Investment Committee governance, ensuring timely reviews and documentation of minutes. Accounting, Finance & Fund Administration • Oversee accounting, audit, and fund reporting functions to ensure accuracy and compliance with Indian GAAP / IFSCA standards. • Coordinate with auditors, fund administrators, and custodians for NAV, fund accounting, and reconciliation. • Ensure proper financial controls, capital call management, investor payouts, and expense monitoring. • Prepare periodic MIS and financial performance reports for management and investors. Investor Relations & Reporting • Act as a single point of contact for investor communications and regulatory disclosures. • Ensure compliance with investor onboarding, KYC/AML/CFT procedures, and reporting obligations. • Review and approve quarterly investor statements, fund performance reports, and audit deliverables. • Address investor queries and coordinate due diligence requirements as required. Investment Committee & Decision Support • Participate as a member of the Investment Committee (IC), providing regulatory and compliance oversight in investment decisions. • Review and validate investment proposals for adherence to AIF regulations and fund strategy. • Ensure post-investment monitoring, exit documentation, and compliance with fund covenants. Requirements • Education: o Qualified CS + LLB/CA . o NISM Certification • Experience: o 10–15 years of experience in Compliance, Legal, Fund Accounting, or Fund Operations within an AIF / PMS / AMC / Financial Institution. o Proven track record of handling regulatory liaison with IFSCA, SEBI, and other financial authorities. • Knowledge: o Strong command over AIF Regulations, IFSCA Fund Management framework, Companies Act, FEMA, and Taxation for AIFs. o Understanding of fund accounting, audits, investor relations, and financial controls. • Skills: o Excellent leadership, analytical, and communication skills. o High attention to detail, integrity, and ability to multitask across legal, compliance, and financial areas.

📌 ECM - Associate (India)
🏢 XpertReach
📍 India