Compliance Manager – Investment Banking

Getfive; Mumbai; On-site; INR 800,000 - 1,400,000; Full time

Job summary

A financial services firm in Mumbai is seeking a Company Secretary for its Merchant Banking team. The role involves preparing IPO documents, ensuring compliance with SEBI regulations, and assisting in IPO activities. Ideal candidates should have a CS qualification and 3-4 years of relevant experience, along with excellent communication skills. This position demands strong problem-solving abilities and the capacity to handle confidential matters.

Qualifications

• Minimum 3-4 years of experience in a relevant field.
• Proficient in compliance and project completion.
• Ability to cope with high levels of responsibility.
• Problem solving and analytical skills.
• Ability to multi-task and meet deadlines.
• Ability to cope with high levels of responsibility and with confidential matters.

Responsibilities

• Prepare Draft Offer Document per SEBI regulations.
• Conduct Secretarial Due Diligence for clients.
• Ensure compliance with filing of IPO to regulatory bodies.
• Assist Team Leader in IPO activities.
• Preparing/Reviewing draft resolutions in respect of bonus issue, private placement, Company conversion, Change in Board Constitution etc.
• Coordinating with the Company, Legal Advisors, Practicing Company Secretaries, Registrar & Transfer Agent, Stock Exchange, SEBI etc. throughout the IPO project
• Assisting Team Leader in all the IPO activities till listing of shares
• Briefing clients on post listing compliances

Skills

Excellent interpersonal communication

Problem solving and analytical skills

Ability to multi-task and meet deadlines

Education

Qualified CS

LLB preferred

Job description

Name of the organization – Getfive Advisors Pvt Ltd.

About the organization –

Getfive is a SEBI registered merchant banking firm based out of Mumbai & Ahmedabad. The firm is focused on IPO as well as fund raising through Private Equity and Debt. Along with the merchant banking division, the firm has also launched AIF – CAT 1.

Reporting – Compliance head

We are looking for a Company Secretary, in our Merchant Banking team for handling the execution of Initial Public Offer. He/ She would be responsible for:

• Preparing the Draft Offer Document (DRHP/RHP/Prospectus) as per SEBI (LODR) and SEBI (ICDR) Regulations, 2018
• Carrying Secretarial Due Diligence of the client in terms of Companies Act, 2013.
• Liasoning with the client for IPO documentation.
• Ensuring compliances related to filing of IPO to Stock Exchanges, SEBI and ROC.
• Preparing/Reviewing draft resolutions in respect of bonus issue, private placement, Company conversion, Change in Board Constitution etc.
• Coordinating with the Company, Legal Advisors, Practicing Company Secretaries, Registrar & Transfer Agent, Stock Exchange, SEBI etc. throughout the IPO project
• Assisting Team Leader in all the IPO activities till listing of shares
• Briefing clients on post listing compliances

Knowledge, Skills & Abilities

• Qualified CS
• Minimum 3-4 years of experience
• Excellent interpersonal communication at all levels (verbal and written)
• Problem solving and analytical skills.
• Ability to multi-task and meet deadlines.
• Ability to cope with high levels of responsibility and with confidential matters.

Desired Qualification and Experience

• CS with Minimum experience of 1 year
• LLB preferred
• Proficient in compliance, project completion, follow up
• Ability to work collaboratively in a fast-paced environment