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Head of Compliance--Investment Banking

2 months 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