compliance (merchant banking)

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 1,500,000 - 2,700,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. in Gurugram, India seeks an experienced compliance professional to manage investor grievances, SEBI SCORES and Exchange filings, and ensure PIT compliance across the merchant banking function.

You will oversee regulatory reporting, due diligence, KYC/AML onboarding, and the development of internal policies and processes. Collaboration with promoters, CFOs, legal advisors, and auditors is required.

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-endfinancial, 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.

Job description

Role & responsibilities

Key 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-endfinancial, 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.