Role Overview The Compliance Officer will be responsible for ensuring compliance with applicable SEBI regulations, Companies Act, Merchant Banking Regulations, listing regulations, securities laws and other applicable regulatory requirements and will work closely with the senior management and Investment Banking team.

Key Responsibilities

- Ensure compliance with applicable SEBI regulations, circulars, notifications and guidelines relevant to Merchant Banking and Investment Banking activities.
- Monitor compliance with the SEBI (Merchant Bankers) Regulations, 1992, as amended from time to time.
- Assist in establishing and maintaining an effective compliance framework and regulatory policies for the Investment Banking Division.
- Review and monitor compliance requirements relating to public issues, rights issues, open offers, buybacks, preferential issues, QIPs and other capital market transactions, as applicable.
- Review transaction-related documentation, including offer documents, due diligence reports, agreements, disclosures and regulatory submissions.
- Coordinate with SEBI, stock exchanges, depositories, ROC/MCA and other regulatory authorities on compliance matters.
- Monitor regulatory changes and assess their impact on the Company's business and transactions.




- Ensure timely submission of regulatory reports, returns, disclosures and other filings.
- Maintain appropriate records of regulatory compliances, approvals, correspondence and submissions.
- Assist in conducting compliance reviews and identifying potential regulatory risks.
- Advise the Investment Banking team and senior management on applicable regulatory requirements.
- Ensure implementation and monitoring of the Company's Code of Conduct, internal policies and compliance procedures.
- Coordinate with internal and external legal, audit and qualified advisors on regulatory and compliance matters.
- Support the Company in obtaining and maintaining regulatory registrations and approvals.
- Ensure adherence to applicable AML/KYC, insider trading, conflict-of-interest and other securities-market compliance requirements, as applicable.

How to Apply

Interested candidates may apply through Naukri.com with their updated CV/resume mentioning their relevant experience in SEBI compliance, Merchant Banking, Investment Banking or Capital Markets or can share the Resumes to [email protected], [email protected]

Subject/Position: Compliance Officer Investment Banking Division

📌 Compliance Officer (Hyderabad)
🏢 Northeast Broking Services
📍 Hyderabad