Compliance Manager – Merchant Banking

Future Gate Hr Solutions; Mumbai, Ahmedabad District; On-site; INR 1,200,000 - 1,800,000; Full time

Job summary

A financial services firm is seeking a Compliance Manager to oversee capital market deals and ensure all activities comply with regulations. The ideal candidate will have a strong background in investment banking, specifically with IPOs and regulatory knowledge. This is a senior role requiring at least 5 years of experience. The position is open for candidates from Ahmedabad, Mumbai, or NCR.

Qualifications

• At least 5+ years of experience in Investment Banking and Merchant Banking.
• Demonstrated history in financial services.
• Experience with IPO, Buy Back, Migrations, and more.

Responsibilities

• Execute equity and capital market deals like IPO and Rights Issue.
• Prepare Offer Documents compliant with SEBI.
• Liaise with clients, legal advisors, and other stakeholders.

Skills

Investment Banking and Merchant Banking experience

Knowledge of SEBI Rules and Regulations

Strong analytical skills

Communication skills

Leadership abilities

Education

C.A./ C.S. or MBA

Job description

Overview

Compliance Manager – Merchant Banking

Location: Preferably Ahmedabad, Gujarat. We are open for other location like Mumbai or NCR for suitable candidate

Looking for a senior person to work in compliance department for a merchant banking business started by a group of senior professionals. You will play pivotal role in leading and managing the execution of capital market assignments. Your primary responsibility is to execute deals related to equity and capital market.

Responsibilities

• Execution of equity and capital market deals i.e. IPO, Rights Issue, FPO, Open Offer under Buyback, Takeover, De-listing.
• Preparation of Offer Documents in compliance with the SEBI (Issue Of Capital And Disclosure Requirements), Regulations and other relevant filing / reporting documents for SEBI and Stock Exchanges
• Liaising with clients, legal advisors, registrar, auditors, syndicate members, other advisors, SEBI, Stock Exchanges and other intermediaries involved
• Good knowledge of SEBI Rules and Regulations, Companies Act, Due Diligence and Processes & Practices of various- Merchant- Banking- deals
• Preparation/ delivering of presentations w.r.t to amendment in any of the Act, Regulations, Rules as applicable

Key Responsibilities

• Assisting/ coordinating the clients in completing due-diligence and in drafting of offer documents.
• Working and completing a given assignment within a stipulated timeline.
• Collaborate with internal teams, external advisors, and other stakeholders.

Qualifications / Skills

• C.A./ C.S. or MBA with at least 5+ years of experience in Investment Banking and; Merchant Banking with a demonstrated history of working in the financial services industry.
• Should have worked in the areas of Company Law, SEBI Regulations with experience in Execution of services such as SME IPO, Buy Back, Migrations, Open offer takeover and Business valuation.
• Prior experience in Initial Public Offering, Financial Analysis, Right Issues, Mergers & and Acquisitions.
• Self-directed, highly motivated, and able to work independently and in a team.
• Highly driven, detail-oriented, diligent with strong analytical, communication and writing skills.