Role & responsibilities

Job Title: AVP Compliance IB
Location: Prabhadevi, MumbaiKey Responsibilities: - Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure.- Prepare and file all monthly, quarterly, and yearly Merchant Banking returns with SEBI and Exchanges. - Ensure full PIT Compliance including SDD maintenance, trading declarations, UPSI controls & reporting. - Monitor adherence to SEBI Merchant Banker Regulations, Due Diligence Certificate (DDC) requirements, and Code of Conduct. - Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation. - Support SEBI / Stock Exchange inspections, prepare responses, and implement corrective actions. - Ensure KYC/AML compliance and proper onboarding records for clients in IPO assignments. - Draft, update, and implement internal compliance policies, PIT policy, SOPs, code of conduct, and merchant banking procedures.



- Track SEBI circulars & regulatory updates and implement the required changes across the organization. - Conduct end-to-end financial, legal, and secretarial due diligence for SME-IPOs. - Ensure compliance with SEBI Regulations, Companies Act, ICDR Regulations, and other laws. - Review DRHP, statutory records, checklists, and corporate documents. - Coordinate timely filing of IPO documents with Exchanges, SEBI, and other regulators. - Identify compliance and governance gaps and recommend corrective actions. - Work closely with promoters, CFOs, legal advisors, auditors, and due diligence teams.- Manage IPO timelines, regulatory queries, and documentation workflows.- Lead internal compliance reviews, monitoring, and regulatory reporting.

Qualification Required: -

- Qualified Company Secretary (CS) /Any graduate
- Relevant experience in compliance / merchant banking / IPO due diligence along with relevant NISM certification

📌 Assistant Vice President Compliance IB (Lucknow)
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