Compliance Officer Merchant Banking - Investment Banking

Role & responsibilities

Hiring | Compliance Officer Merchant Banking / Investment Banking

We are looking for an experienced Compliance Officer to join our Merchant Banking / Investment Banking team.

The ideal candidate will have strong knowledge of SEBI regulations, merchant banking regulations, capital markets and corporate compliance, with the ability to manage regulatory requirements in a fast-paced investment banking environment.

Key Responsibilities

• Ensure compliance with applicable SEBI, Companies Act, stock exchange and other regulatory requirements.
• Handle compliance matters relating to Merchant Banking activities and capital-market transactions.
• Monitor and advise on regulatory requirements for IPO, FPO, Rights Issue, QIP, Open Offer and other ECM transactions.
• Review transaction-related documentation from a regulatory and compliance perspective.
• Coordinate with SEBI, stock exchanges, legal counsel, auditors, merchant bankers and other stakeholders.
• Ensure timely regulatory filings, reporting and maintenance of compliance records.
• Monitor internal policies, SOPs, compliance frameworks and regulatory updates.
• Support due diligence and identify potential compliance and regulatory risks.
• Provide compliance guidance to deal teams and senior management.
• Track and implement changes in applicable SEBI regulations, circulars and guidelines.
• Assisting in transaction execution.

Candidate Profile

• Qualified Company Secretary (CS) preferred.
• Relevant experience in Merchant Banking, Investment Banking, Capital Markets, ECM or Regulatory Compliance.
• Strong understanding of SEBI Merchant Bankers Regulations, ICDR, LODR and other capital-market regulations.
• Excellent analytical, documentation and stakeholder-management skills.
• Experience in handling regulatory interactions and transaction execution will be an advantage.