Compliance Officer

Northeast Broking Services Limited; Hyderabad; On-site; INR 1,200,000 - 1,600,000; Full time

Job summary

Northeast Broking Services Limited in Hyderabad is seeking a Compliance Officer to ensure adherence to SEBI rules, Companies Act and Merchant Banking regulations across Investment Banking activities. You will work with senior management to establish and monitor the compliance framework and manage regulatory submissions.

The role involves reviewing public and capital market transaction documentation, coordinating with SEBI, exchanges, and other regulators, and advising on applicable regulatory

Responsibilities

• Ensure compliance with SEBI regulations, circulars, notifications and guidelines relevant to Merchant Banking and Investment Banking activities.
• Monitor compliance with SEBI Merchant Bankers Regulations, 1992, as amended from time to time.
• Assist in establishing and maintaining an effective compliance framework and regulatory policies for the Investment Banking Division.
• Review and monitor compliance requirements relating to public issues, rights issues, open offers, buybacks, QIPs and other capital market transactions.
• Review transaction-related documentation, including offer documents, due diligence reports, agreements, disclosures and regulatory submissions.
• Coordinate with SEBI, stock exchanges, depositories, ROC/MCA and other regulatory authorities on compliance matters.
• Monitor regulatory changes and assess their impact on the Company's business and transactions.
• Ensure timely submission of regulatory reports, returns, disclosures and other filings.
• Maintain appropriate records of regulatory compliances, approvals, correspondence and submissions.
• Assist in conducting compliance reviews and identifying potential regulatory risks.
• Advise the Investment Banking team and senior management on applicable regulatory requirements.
• Ensure implementation and monitoring of the Company's Code of Conduct, internal policies and compliance procedures.
• Coordinate with internal and external legal, audit and professional advisors on regulatory and compliance matters.
• Support the Company in obtaining and maintaining regulatory registrations and approvals.
• Ensure adherence to AML/KYC, insider trading, conflict-of-interest and other securities-market compliance requirements.

Job description

Role Overview

The Compliance Officer will be responsible for ensuring compliance with applicable SEBI regulations, Companies Act, Merchant Banking Regulations, listing regulations, securities laws and other applicable regulatory requirements and will work closely with the senior management and Investment Banking team.

Key Responsibilities

• Ensure compliance with applicable SEBI regulations, circulars, notifications and guidelines relevant to Merchant Banking and Investment Banking activities.
• Monitor compliance with the SEBI (Merchant Bankers) Regulations, 1992, as amended from time to time.
• Assist in establishing and maintaining an effective compliance framework and regulatory policies for the Investment Banking Division.
• Review and monitor compliance requirements relating to public issues, rights issues, open offers, buybacks, preferential issues, QIPs and other capital market transactions, as applicable.
• Review transaction-related documentation, including offer documents, due diligence reports, agreements, disclosures and regulatory submissions.
• Coordinate with SEBI, stock exchanges, depositories, ROC/MCA and other regulatory authorities on compliance matters.
• Monitor regulatory changes and assess their impact on the Company's business and transactions.
• Ensure timely submission of regulatory reports, returns, disclosures and other filings.
• Maintain appropriate records of regulatory compliances, approvals, correspondence and submissions.
• Assist in conducting compliance reviews and identifying potential regulatory risks.
• Advise the Investment Banking team and senior management on applicable regulatory requirements.
• Ensure implementation and monitoring of the Company's Code of Conduct, internal policies and compliance procedures.
• Coordinate with internal and external legal, audit and professional advisors on regulatory and compliance matters.
• Support the Company in obtaining and maintaining regulatory registrations and approvals.
• Ensure adherence to applicable AML/KYC, insider trading, conflict-of-interest and other securities-market compliance requirements, as applicable.