Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Lucknow; On-site; INR 2,500,000 - 4,500,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Mumbai seeks an AVP Compliance IB to lead regulatory compliance for IPO projects, manage investor grievances, and coordinate filings with SEBI and stock exchanges.

The role requires strong knowledge of SEBI Merchant Bankers Regulations, PIT and KYC/AML, with experience in due diligence, policy drafting, and regulatory inspections. CS/graduate with NISM certification preferred.

Qualifications

• Qualified CS or graduate with relevant compliance/merchant banking/IPO due diligence experience.
• NISM certification is required or desirable.

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.

Education

Company Secretary (CS)

Graduate

NISM Certification

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