Anand Rathi

Position Summary:- This position will play a pivotal role in ensuring the company's legal soundness, governance excellence and full compliance with SEBI and other regulatory bodies.- The Compliance Officer will be responsible for overseeing, implementing, and monitoring all compliance-related functions for a SEBI-registered Merchant Banker engaged in Equity Capital Markets (ECM), Private Equity (PE) syndication, M&A advisory, and other corporate advisory services. The role requires ensuring strict adherence to SEBI, RBI, Companies Act and other applicable regulations, internal policies, and industry best practices.- This position involves close coordination with internal teams, regulators, clients, auditors, and external agencies to ensure full regulatory compliance and smooth functioning of merchant banking operations.Qualifications & Skills:- Graduate/Postgraduate in Law, Commerce, or related field; LLB/CS preferred.- Strong knowledge of SEBI regulations and ECM/PE/M&A processes.- Proven experience in transactional documentation, regulatory audits and policy implementation.- Excellent drafting, communication and negotiation skills.- High ethical standards, attention to detail and ability to work in a high-paced, regulated environment.- Strong stakeholder management - ability to liaise with internal teams, regulators and external counsels effectively.- Prior experience handling SEBI inspections, IPO documentation and regulatory filings preferred.Key Responsibilities:1. Regulatory Compliance (Investment & Merchant Banking)- Ensure compliance with SEBI Merchant Banking Regulations, Companies Act ICDR, LODR, PIT, Takeover Code, and all applicable circulars and regulations for Investment Banking and Merchant Banking activities.- Oversee compliance checks for IPO, QIP, Rights Issue, Buyback, Open Offer, PE and M&A transactions.- Manage regulatory filings (including submissions to SEBI and other regulators), reports, disclosures, and responses to SEBI/Stock Exchange queries.- Handle SEBI inspections, SEBI Risk Supervision exercises, registration renewals and regulatory audits.- Implement internal compliance policies, SOPs, KYC/AML processes, and maintain statutory records.- Maintain and update SDD (Structured Digital Database), Grey Lists and Restricted Lists; oversee insider trading compliance and trade approvals.- Prepare and implement Advisory, Merchant Banking, and Underwriting Policies, address investor grievance redressal for MB transactions.- Provide regulatory advice to business teams and clients on MB regulations, deals and compliance requirements.- Conducting training for the employees to create awareness on compliance requirements.2. Legal & Transactional Support- Draft, review and negotiate transactional documents such as:- Engagement Letters, NDAs, Issue/Offer/Placement Agreements, Escrow Agreements, Underwriting and Syndicate Agreements, Letter of Indemnities, Offer Documents, Registrar Agreements and Service Provider Contracts.- Support IPOs, Rights Issues, Buybacks, Delisting Offers and other capital market transactions.- Support transaction teams with compliance requirements and review of documentation and transaction related agreements.- Maintain a repository of SEBI orders, adjudication rulings, court judgments and informal guidance relevant to Merchant Banking.- Draft and review demand notices for fee recovery and other operational documents.- Internal inspection of ECM transactions to ensure complete preparedness before SEBI inspections.- Coordinate with regulators, legal advisors, auditors, and internal stakeholders on compliance matters.3. Compliance Monitoring & Risk Management- Monitor internal policies, procedures and business processes to ensure adherence to internal compliance frameworks.- Track regulatory circulars, notifications and guidelines; circulate updates to concerned teams.- Prepare AML (Anti-Money Laundering) reports and maintain compliance trackers.- Manage internal compliance dashboards and ensure prompt closure of audit observations.Work Environment:- Be part of a reputed and fast-growing Investment Banking platform.- Work on marquee IPOs, M&A, and Capital Market deals.- Collaborate with top professionals in finance and law.- Drive impact through governance, compliance, and ethical leadership. (ref:iimjobs.com)