Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Mumbai; Vor Ort; INR 3.000.000 - 6.000.000; Vollzeit

Zusammenfassung

Intellectual Capital HR Consulting Pvt. Ltd. in Mumbai seeks an AVP Compliance IB to lead investor grievance redressal, SEBI and exchange filings, and overall regulatory compliance for merchant banking activities.

The role requires extensive knowledge of SEBI Merchant Banker Regulations, PIT/SDD controls, KYC/AML, and end-to-end due diligence for SME-IPOs, coordinating with promoters, CFOs, and auditors.

Qualifikationen

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

Aufgaben

• 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

Ausbildung

Company Secretary (CS) or Graduate

Jobbeschreibung

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