Merchant Banking Compliance – BFSI

4 days ago

Mumbai, India Arin Consultancy Private Limited Full time
Function

: Compliance (Merchant Banking Division)Location

: MumbaiQualifications:Qualified as Company Secretary with LLB or CA degree preferredWork Experience

(highlight) :Work experience of 8-10 years and above. Must have exposure & experience in managing compliance aspects and understanding & awareness about financial service sector.Core Purpose of the Role :Manage Compliance aspects of Investment Banking (Lead Manager activities, Arranger ship – CP / NCDEnsure all regulatory submissions / filing are done in time and record is maintainedAll relevant policies are regularly updated and ensure compliance thereofEnsure new circulars released by regulators are timely reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)Responsible for Managing Initial Public issues / Buy backs / Valuations / Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers, legal, exchanges etc) in terms of the obligations of a merchant bankerEnsure that all Merchant banking transactions are executed as per regulatory guidelines and within timelinesManage relationships with regulators and assist with the Company’s response to regulatory inspection / observationsAssist in various compliance matters / opinions in day to day activities, Review of various documentsEnsure timely completion of inspectionsManaging customer (internal) queries in a timely manner to resolve grievancesRegular updates / training to employees related to compliance, AML, Insider Trading, SDD etc.Responding to customer complaints relating to the activities undertaken by the Company in a timely mannerSkills:Expertise in liaison work with SEBI / ExchangesExcellent communicationSolution OrientationPositive AttitudeDecision making ability

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