Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Kolkata District; Sur place; INR 3 000 000 - 6 000 000; Plein temps

Résumé du poste

Intellectual Capital HR Consulting Pvt. Ltd. seeks an AVP Compliance IB in Mumbai to lead regulatory adherence, investor grievance resolution on SEBI SCORES, and timely filing of merchant banking returns with SEBI and stock exchanges.

You will maintain PIT compliance, due diligence requirements, KYC/AML for IPOs, draft internal policies, coordinate with SEBI and regulators, and guide due diligence teams to ensure audit-ready documentation.

Qualifications

• Must have CS or graduate with compliance experience.
• Experience in merchant banking, IPO due diligence and NISM certification.

Responsabilités

• Handle investor grievance redressal across SEBI SCORES and exchanges.
• Prepare and file merchant banking returns with SEBI and exchanges.
• Ensure PIT compliance including SDD maintenance, trading declarations & UPSI controls.
• Maintain compliance registers, policy documents, internal trackers and audit-ready docs.
• Support SEBI/stock exchange inspections and implement corrective actions.
• Draft, update and implement internal compliance policies, PIT policy and SOPs.

Connaissances

Regulatory compliance

SEBI regulations

IPO due diligence

Due diligence

Stakeholder management

Documentation

Formation

Company Secretary

Graduate (any)

Description du poste

Role & responsibilities

Job Title: AVP Compliance IB
Location: Prabhadevi, Mumbai

Key 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