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Merchant Banking Compliance – BFSI
2 months ago
Function : Compliance (Merchant Banking Division)
Location : Mumbai
Qualifications:
Qualified as Company Secretary with LLB or CA degree preferred
Work 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 / NCD Ensure all regulatory submissions / filing are done in time and record is maintained All relevant policies are regularly updated and ensure compliance thereof Ensure 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 banker Ensure that all Merchant banking transactions are executed as per regulatory guidelines and within timelines Manage relationships with regulators and assist with the Company’s response to regulatory inspection / observations Assist in various compliance matters / opinions in day to day activities, Review of various documents Ensure timely completion of inspections Managing customer (internal) queries in a timely manner to resolve grievances Regular 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 / Exchanges Excellent communication Solution Orientation Positive Attitude Decision making ability