Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Pune District; On-site; INR 1,800,000 - 2,600,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks an AVP Compliance IB in Mumbai with deep experience in SEBI SCORES, merchant banking, and IPO due diligence.

You will manage regulatory filings, due diligence, and governance frameworks, while coordinating with promoters, CFOs, legal advisors, and auditors. Role requires CS or graduate with NISM certification and strong knowledge of SEBI Regulations, ICDR, and Companies Act.

Qualifications

• Qualified CS or graduate with relevant compliance experience.
• Experience in merchant banking/IPO due diligence and NISM certification.

Responsibilities

• Handle investor grievances and redressal on SEBI SCORES and Exchange platforms.
• File monthly, quarterly, and annual merchant banking returns with SEBI and Exchanges.
• Ensure PIT compliance including SDD maintenance, trading declarations, and UPSI controls.
• Monitor SEBI Merchant Banker Regulations, DDCC requirements, and Code of Conduct.
• Maintain compliance registers, policy documents, and audit-ready records.
• Support SEBI/Stock Exchange inspections and implement corrective actions.
• Ensure KYC/AML compliance and onboarding records for IPO clients.
• Draft and update internal policies, SOPs, and merchant banking procedures.
• Track SEBI circulars and regulatory updates and implement needed changes.
• Conduct end-to-end financial, legal, and secretarial due diligence for SME-IPOs.
• Coordinate timely filing of IPO documents with Exchanges and regulators.
• Identify governance gaps and recommend corrective actions.
• Lead internal compliance reviews and regulatory reporting.

Skills

Compliance expertise

IPO due diligence

Regulatory reporting

SEBI regulations

Education

CS or 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