Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 2,400,000 - 3,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. invites an AVP Compliance IB to oversee regulatory compliance for IPO-related activities in Mumbai. The role requires handling investor grievance redressal, regulatory reporting, and due diligence across SEBI and exchange platforms.

The ideal candidate will manage KYC/AML, policy drafting, and liaison with promoters, CFOs, and legal advisors, ensuring end-to-end compliance excellence.

Qualifications

• NISM certification is required.
• Experience in compliance and merchant banking/IPO due diligence is preferred.
• Knowledge of SEBI Regulations and regulatory reporting is essential.

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 and Code of Conduct.
• Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation.
• Prepare responses for SEBI/Stock Exchange inspections and implement corrective actions.

Skills

NISM certification

SEBI Regulations

IPO due diligence

Compliance framework

Education

Company Secretary (CS)

Graduate

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