About The Prospect

A dynamic 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 new 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

Skills: aml,capital,teams,regulations,compliance,merchant banking,sebi,institutional,rbi,documentation

📌 Compliance Officer (Mumbai)
🏢 CAREERBLOC ~
📍 Mumbai