Head of Compliance--Investment Banking

6 days ago

Mumbai, India OngoleBulls Full time

Job Description: Head of Compliance - Investment Banking

**Position:** Head of Compliance - Investment Banking

**Location:** Mumbai, India

**Company:** OngoleBulls Invest Pvt Ltd

About OngoleBulls Invest Pvt Ltd:**

OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including **investment banking**, **merchant banking**, mutual funds, stock broking, currencies and commodities trading, bonds, and investments in early-stage startups. Our focus on health tech, fintech, and legal tech, along with unlisted companies, positions us as a dynamic player in the financial industry.

Role Summary:**

The Head of Compliance - Investment Banking will be responsible for overseeing all compliance-related activities within the investment banking division of OngoleBulls Invest Pvt Ltd. The role involves ensuring that all business operations adhere to the relevant laws, regulations, and internal policies. This position requires a strategic leader with deep knowledge of regulatory requirements and experience in managing compliance functions within the investment banking sector.

Key Responsibilities:

1. **Compliance Strategy & Leadership:**

- Develop and implement a comprehensive compliance strategy for the investment banking division.

- Lead the compliance team, providing guidance and support to ensure effective execution of compliance responsibilities.

- Ensure that the compliance framework aligns with the company’s strategic objectives and regulatory requirements.

2. **Regulatory Compliance:**

- **Must be well-versed with SEBI compliance in merchant banking** and ensure that the company's operations adhere strictly to these regulations.

- Monitor and interpret regulatory changes affecting the investment banking industry, and ensure the company’s operations remain compliant.

- Oversee the implementation of new regulations and ensure timely communication of regulatory updates to relevant stakeholders.

- Liaise with regulatory authorities and manage all regulatory reporting and filings.

3. **Risk Management:**

- Identify, assess, and mitigate compliance risks associated with investment banking activities.

- Implement robust risk management controls and ensure continuous monitoring of compliance-related risks.

- Develop and maintain risk assessment methodologies to evaluate compliance vulnerabilities.

4. **Internal Policies & Procedures:**

- Develop, review, and update internal compliance policies and procedures to ensure they are effective and up to date.

- Ensure that all employees are educated on compliance policies and the importance of adhering to them.

- Conduct regular compliance training and awareness programs for the investment banking division.

5. **Audits & Investigations:**

- Conduct periodic internal audits to ensure compliance with regulatory requirements and internal policies.

- Lead investigations into any compliance breaches or issues, and take appropriate corrective actions.

- Prepare and present compliance reports to senior management and the board of directors.

6. **Collaboration & Communication:**

- Work closely with the legal, risk management, and operations teams to ensure a coordinated approach to compliance.

- Act as the primary point of contact for all compliance-related matters within the investment banking division.

- Build and maintain strong relationships with regulatory bodies, external auditors, and other stakeholders.

7. **Continuous Improvement:**

- Stay abreast of industry trends and best practices in compliance management.

- Continuously evaluate and enhance the compliance program to ensure it remains effective and efficient.

- Foster a culture of compliance within the organization.

**Qualifications:**

- Bachelor’s degree in Law, Finance, Business Administration, or a related field. A Master’s degree or professional certification (e.g., CFA, CAMS) is preferred.

- Minimum of 10-12 years of experience in compliance management within the investment banking sector.

- **Must be well-versed with SEBI compliance in merchant banking.**

- In-depth knowledge of SEBI regulations, RBI guidelines, and other relevant financial regulations.

- Proven track record of successfully leading a compliance function in a financial services firm.

- Strong analytical, problem-solving, and decision-making skills.

- Excellent communication and leadership abilities.

- Ability to work effectively in a fast-paced, dynamic environment.

**Compensation:**

Competitive salary and benefits package, commensurate with experience and qualifications.

**Application Process:**

Interested candidates are invited to submit their resume and a cover letter outlining their qualifications and experience to

  • Head of Compliance--Investment Banking

    1 week ago

    mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking**Location:** Mumbai, India**Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including **investment...

  • Head of Compliance--Investment Banking

    3 weeks ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking  **Location:** Mumbai, India  **Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**  OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including...

  • Head of Compliance--Investment Banking

    3 weeks ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking**Position:** Head of Compliance - Investment Banking  **Location:** Mumbai, India  **Company:** OngoleBulls Invest Pvt LtdAbout OngoleBulls Invest Pvt Ltd:**  OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services, including...

  • Head of Compliance--Investment Banking

    1 week ago

    Mumbai, India OngoleBulls Full time

    Job Description: Head of Compliance - Investment Banking **Position:** Head of Compliance - Investment Banking   **Location:** Mumbai, India   **Company:** OngoleBulls Invest Pvt Ltd About OngoleBulls Invest Pvt Ltd:**   OngoleBulls Invest Pvt Ltd is a global financial services company offering a diverse range of financial products and services,...

  • Investment Compliance

    3 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Role overview**: J.P. Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and...

  • Investment Compliance

    3 months ago

    Goregaon East, Mumbai, Maharashtra, India JPMorgan Chase & Co Full time

    **JOB DESCRIPTION** Worldwide Securities Services (WSS) Summary**: **Department Summary**: Market-leading post-trade compliance reporting services for portfolio risk management. J.P. Morgan's market-leading Compliance Reporting Services enables asset managers, fund sponsors and trustees to efficiently detect and manage violations of client-specified...

  • Compliance/legal- Investment Banking Division

    3 months ago

    Mumbai, India JM Financial Full time

    **Eligibility Criteria-** **Years of experience**: 4-8 years **Designation**: Manager/ Sr Manager **Location**: Mumbai **Qualification**:LLB **Key Responsibilities include-** Transaction Compliance: Handling compliance work for Capital Markets, Mergers & Acquisitions and advisory mandates. Drafting, reviewing and vetting various documents and...

  • Investment Compliance

    3 months ago

    Mumbai, India JPMorgan Chase & Co. Full time

    Role overview: . Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...

  • Investment Compliance

    2 days ago

    mumbai, India JPMorgan Chase & Co. Full time

    Role overview: Morgan's Compliance Reporting Services (CRS) is one of the largest providers of post-trade compliance reporting services to some of the largest Asset owners and Asset managers globally. Our service enables clients to efficiently detect and manage violations of their investment rules, facilitating risk reduction and demonstrating industry...

  • Head of Investment Banking

    6 days ago

    Mumbai, India Vahura Full time

    - Origination of IB deals (Capital market, PE and M&A, Debt) in large/mid corporate domain - Maintaining existing relationships and making new relationships with corporates looking to raise funds- Identify corporates looking aiming for IPO/ SME IPO- Manage the relationships with the Lenders in Private Banks, PSU Banks, NBFCs, Financial Institutions, etc-...

  • Para Banking Advisory Compliance

    3 months ago

    Mumbai, India Skillventory Full time

    **Para Banking Advisory Compliance**: - From 7 to 12 year(s) of experience - ₹ Not Disclosed by Recruiter - Mumbaior **Roles and Responsibilities** Hiring for a Leading Private Sector Bank**Roles and Responsibilities: - ** - Handling Regulatory Compliance for the Bank covering various regulations of SEBI, PFRDA, NSDL, CDSL, NSE, BSE etc. - Handling...

  • Investment Banking

    1 month ago

    Mumbai, Maharashtra, India Citibank India Full time

    Apply for Investment Banking Banking Analyst Officer At Citi, Career Progress Consultants in Mumbai for 1 - 5 Year of Experience on

  • Manager Investment Banking

    1 week ago

    navi mumbai, India Sutherland Full time

    Job Location: Airoli (Navi Mumbai)Exp:- 8-15 YearsSkills Required: Investment Banking, Team Management, M&A, Pitchbooks and ValuationsRole: Manager, ResearchSutherland Research is looking for an enterprising professional to join us as Manager – Investment Banking Research role who is passionate about providing best in class research support to some of...

  • Manager Investment Banking

    1 week ago

    Navi Mumbai, India Sutherland Full time

    Job Location: Airoli (Navi Mumbai)Exp:- 8-15 YearsSkills Required: Investment Banking, Team Management, M&A, Pitchbooks and ValuationsRole: Manager, ResearchSutherland Research is looking for an enterprising professionalto join us as Manager – Investment Banking Researchrole who is passionate about providing best in class research support to some of the...

  • Investment Banking Intern

    3 months ago

    Andheri East, Mumbai, Maharashtra, India Boston Institute of Analytics Global Education Pvt Ltd Full time

    **Job description** As the top-ranked international training institute, the Boston Institute of Analytics provides comprehensive training to students and working professionals through classroom sessions conducted by industry experts. With training campuses located across the US, UK, Europe, and Asia, BIA® offers global training programs, aiming to deliver...

  • Manager Investment Banking

    6 days ago

    Navi Mumbai, India Sutherland Full time

    Job Location: Airoli (Navi Mumbai) Exp:- 8-15 Years Skills Required: Investment Banking, Team Management, M&A, Pitchbooks and Valuations Role: Manager, Research Sutherland Research is looking for an enterprising professional to join us as Manager – Investment Banking Research role who is passionate about providing best in class research...

  • Manager Investment Banking

    1 week ago

    Navi Mumbai, India Sutherland Full time

    Job Location: Airoli (Navi Mumbai) Exp:- 8-15 Years Skills Required: Investment Banking, Team Management, M&A, Pitchbooks and Valuations Role: Manager, Research Sutherland Research is looking for an enterprising professional to join us as Manager – Investment Banking Research role who is passionate about providing best in class research support to...

  • Investment Compliance

    2 months ago

    Mumbai, India State Street Full time

    What you will be responsible for:• Onboarding of new clients for investment compliance by understanding the client requirements, interpreting the prospectus / investment mandate and extracting compliance restrictions to create a compliance rule matrix.• Liaise with clients to obtain additional information that may be necessary from time to time to...

  • Bank Officer Posts

    3 weeks ago

    Mumbai, India Bank of Maharashtra Full time

    Bank of Maharashtra Chief Compliance Officer Recruitment 2024 Notification Out. The Bank of Maharashtra invites offline applications from eligible candidates for recruitment of Chief Compliance Officer (CCO) on Contract Basis to be posted at Head Office, Pune or any other office as per Bank’s requirement. The last date for receipt of applications is 31st...

  • Vice President- Regulatory Compliance

    3 weeks ago

    Mumbai, India Sumitomo Mitsui Banking Corporation – SMBC Group Full time

    COMPANY OVERVIEWHeadquartered in Tokyo, SMBC is one of the largest Japanese banks by assets (with over \238,700 billion in total assets), with strong credit ratings across the globe. The bank offers personal, corporate and investment banking services to their customer network that extends across 39 countries and regions, 15 of which are in Asia. The...