Junior Compliance Officer

7 days ago

Mumbai, India NovaaOne Capital Private Limited Full time

SEBI & Capital Markets Compliance:• Ensure full compliance with SEBI (Merchant Bankers) Regulations, ICDR, LODR, Takeover Code, and related circulars and guidelines. • Handle regulatory filings and correspondence with SEBI, Stock Exchanges, and other market intermediaries. • Ensure compliance in IPOs, open offers, buybacks, delistings, and other capital market transactions. • Maintain proper records, registers, Structure Digital Database and documentation as required under applicable SEBI regulations. Companies Act, 2013 Compliance:• Ensure compliance with all secretarial requirements under the Companies Act, 2013 including Board and General Meetings, ROC filings, and maintenance of statutory registers. • Prepare and maintain minutes, resolutions, and filings related to company law matters. • Coordinate with auditors, legal advisors, and regulators as required. Firm-wide Compliance & Governance:• Monitor overall compliance of the firm with applicable laws and internal policies. • Develop and implement internal compliance policies, manuals, and standard operating procedures. • Conduct periodic compliance audits, risk assessments, and employee training. • Liaise with internal teams to ensure a culture of compliance and governance. • Support senior management and the Board on governance and regulatory matters. Eligibility Criteria:• Qualified Company Secretary (ICSI) with 3–4 years of post-qualification experience. • Prior experience in a SEBI-registered intermediary or capital markets firm preferred. • Strong working knowledge of SEBI regulations and the Companies Act, 2013. • Excellent drafting, communication, and interpersonal skills. • High attention to detail, proactive approach, and ability to handle multi-functional responsibilities. Desirable Attributes • Experience in handling inspections or audits by SEBI or MCA. • Ability to interpret and implement regulatory updates quickly. • Strong ethics, confidentiality, and problem-solving mindset.

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