Senior Compliance Specialist

10 hours ago


Mumbai, Maharashtra, India Fullon Finance Full time

About Us

Fullon Finance Private Limited is a part of the Fullon Group, which aims to obtain a Merchant Banking Category I license. The group is involved in public issues, fund raising, mergers & acquisitions, and financial restructuring.

Job Role: Senior Compliance Specialist

Location: Mumbai

Job Description:

We seek an experienced Senior Compliance Specialist with at least 2 years of experience in a Mercantile Bank Category I firm or any public listed company. A qualified Company Secretary with additional legal expertise is required. This role involves ensuring adherence to all applicable SEBI regulations and other statutory compliances.

Main Responsibilities:

  • Ensure compliance with SEBI regulations, capital markets standards, and corporate finance policies.
  • Develop, implement, and monitor internal compliance policies and procedures.
  • Review and update internal compliance manuals and processes based on regulatory changes.
  • Liaise with SEBI, stock exchanges, and other regulatory bodies.
  • Timely filing of returns, disclosures, and submissions to SEBI and other regulators.
  • Drafting and reviewing agreements, contracts, and legal documentation.

Required Qualifications:

  • A Company Secretary (CS) qualification is mandatory.
  • LLB is beneficial for added value.
  • 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 principles.
  • Experience dealing with SEBI, stock exchanges, and other regulatory authorities.
  • Excellent communication, organizational, and interpersonal skills.
  • Ability to work independently and manage multiple responsibilities effectively.

Estimated Salary: ₹25-35 Lakh Per Annum, depending on qualifications and experience.



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