Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Ahmedabad District; On-site; INR 1,200,000 - 2,000,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks an AVP Compliance IB in Mumbai to lead regulatory affairs for IPO projects.

You will manage investor grievance redressal on SEBI SCORES and exchanges, file merchant banking returns, and ensure PIT compliance across due diligence and trading disclosures. You will draft and update internal policies, track SEBI circulars, support regulatory inspections, and coordinate with promoters, CFOs, legal advisors, auditors, and due diligence teams to close

Qualifications

• Qualified Company Secretary (CS) /Any graduate.
• Relevant experience in compliance / merchant banking / IPO due diligence along with relevant NISM certification.

Responsibilities

• Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure.
• Prepare and file all monthly, quarterly, and yearly Merchant Banking returns with SEBI and Exchanges.
• Ensure PIT Compliance including SDD maintenance, trading declarations & UPSI controls & reporting.
• Monitor adherence to SEBI Merchant Banker Regulations and Code of Conduct.
• Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation.
• Coordinate timely filing of IPO documents with Exchanges, SEBI, and other regulators.

Skills

Investor grievances

Regulatory compliance

Documentation

Audit readiness

Stakeholder coordination

Education

CS qualification

Graduate degree

Tools

SEBI SCORES

IPO filing processes

Job description

Role & responsibilities

Job Title:AVP Compliance IB
Location:Prabhadevi, MumbaiKey Responsibilities:- Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure.- Prepare and file all monthly, quarterly, and yearly Merchant Banking returns with SEBI and Exchanges.- Ensure full PIT Compliance including SDD maintenance, trading declarations, UPSI controls & reporting.- Monitor adherence to SEBI Merchant Banker Regulations, Due Diligence Certificate (DDC) requirements, and Code of Conduct.- Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation.- Support SEBI / Stock Exchange inspections, prepare responses, and implement corrective actions.- Ensure KYC/AML compliance and proper onboarding records for clients in IPO assignments.- Draft, update, and implement internal compliance policies, PIT policy, SOPs, code of conduct, and merchant banking procedures.- Track SEBI circulars & regulatory updates and implement the required changes across the organization.- Conduct end-to-end financial, legal, and secretarial due diligence for SME-IPOs.- Ensure compliance with SEBI Regulations, Companies Act, ICDR Regulations, and other laws.- Review DRHP, statutory records, checklists, and corporate documents.- Coordinate timely filing of IPO documents with Exchanges, SEBI, and other regulators.- Identify compliance and governance gaps and recommend corrective actions.- Work closely with promoters, CFOs, legal advisors, auditors, and due diligence teams.- Manage IPO timelines, regulatory queries, and documentation workflows.- Lead internal compliance reviews, monitoring, and regulatory reporting.

Qualification Required: -

• Qualified Company Secretary (CS) /Any graduate
• Relevant experience in compliance / merchant banking / IPO due diligence along with relevant NISM certification