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Fullon Finance | Compliance Officer | mumbai

2 months ago

mumbai, India Fullon Finance Full time

About Us 

Fullon Finance Private Limited is a part of Fullon Group and currently in a process of obtaining Merchant banking category I license. The group is already involved in public issues, Fund raising, Mergers & acquisition and financial restructuring.


Role:  Compliance Officer 

Location: Mumbai  


Job Description:

We are looking for a Compliance Officer  with a minimum of 2 years of experience  in a Merchant Banking Category I firm  or any public listed company . The candidate should be a qualified Company Secretary  with additional legal expertise. This role involves ensuring the company adheres to all applicable SEBI regulations and other statutory compliances.


Key Responsibilities:

  • Ensure compliance with SEBI regulations , capital markets , and corporate finance standards .
  • Develop, implement, and monitor internal compliance policies and procedures.
  • Review and update internal compliance manuals and processes based on regulatory changes.
  • Act as a liaison with SEBI, stock exchanges, and other regulatory bodies.
  • Monitor and ensure timely filing of returns, disclosures, and submissions to SEBI and other regulators.
  • Assist in drafting and reviewing agreements, contracts, and legal documentation.


Qualifications:

  • Company Secretary (CS) qualification is mandatory .
  • LLB is an added advantage.
  • Minimum 2 years  of relevant experience in a Merchant Banking Category I firm  or public listed company .
  • Strong knowledge of SEBI regulations , compliances , and corporate governance.
  • Experience in dealing with SEBI, stock exchanges, and other regulatory bodies.
  • Excellent communication, organizational, and interpersonal skills.
  • Ability to work independently and manage multiple responsibilities.