Assistant Vice President Compliance IB

Intellectual Capital HR Consulting Pvt. Ltd.; Surat; On-site; INR 1,100,000 - 1,600,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks an AVP Compliance IB to lead regulatory compliance, due diligence, and reporting for IPO endeavours in Mumbai. The role focuses on SEBI SCORES, merchant banking regulations, and KYC/AML controls, coordinating with promoters, CFOs, and legal teams.

The candidate will manage policy implementation, compliance audits, and regulatory communications, ensuring timely responses to inspections and strict governance standards.

Qualifications

• Experience in SEBI SCORES, merchant banking, IPO due diligence and regulatory reporting.
• Knowledge of SEBI Regulations, Companies Act, ICDR Regulations and related governance requirements.
• Strong documentation, audit readiness, and policy implementation skills.

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.

Skills

NISM Certification

Education

Qualified CS or Any 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