Compliance Officer

Intellectual Capital HR Consulting Pvt. Ltd.; Indore District; On-site; INR 1,500,000 - 2,200,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. seeks a Compliance Officer/Manager with 5–6 years in merchant banking, investment banking, or financial services to ensure SEBI and regulatory compliance for ECM, PE syndication, and M&A advisory. Location is Mumbai.

Role involves drafting, regulatory filings, inspections, and advisory support to deal teams; strong ethics and stakeholder management are essential in a fast-paced environment.

Qualifications

• Graduate/Postgraduate in Law, Commerce, or related field; LLB/CS preferred.
• Strong knowledge of SEBI regulations and ECM/PE/M&A processes.
• Proven experience in transactional documentation, regulatory audits and policy implementation.
• Excellent drafting, communication and negotiation skills.
• High ethical standards, attention to detail and ability to work in a high-paced, regulated environment.
• Strong stakeholder management ability to liaise with regulators, internal teams and external counsels.
• Prior experience handling SEBI inspections, IPO documentation and regulatory filings preferred.

Responsibilities

• Regulatory Compliance: Ensure SEBI Merchant Banking Regulations, Companies Act ICDR, LODR, PIT, Takeover Code, and all applicable regulations for Investment/Merchant Banking.
• Oversee compliance checks for IPO, QIP, Rights Issue, Buyback, Open Offer, PE and M&A transactions.
• Manage regulatory filings to SEBI and other regulators; prepare reports and responses.
• Handle SEBI inspections, risk supervision exercises, registrations renewals, and audits.
• Implement internal policies, KYC/AML processes, and maintain statutory records.
• Maintain SDD, Grey Lists and Restricted Lists; oversee insider trading compliance and trade approvals.
• Draft and implement policies for MB transactions; address investor grievances.
• Provide regulatory advice to business teams and clients on MB regulations and deals.
• Conduct training for employees on compliance requirements.
• Legal & Transactional Support: Draft/review engagements, NDAs, issue/placement agreements, escrow agreements, underwriting and syndicate agreements, indemnities, registrar agreements, service contracts.
• Support IPOs, rights issues, Buybacks, delisting offers; assist transaction teams with compliance.
• Maintain repository of SEBI orders; review documentary templates and guidance.
• Draft/review demand notices for fee recovery and operational docs.
• Internal inspection of ECM transactions ahead of SEBI inspections.
• Coordinate with regulators, legal advisors, auditors and stakeholders on compliance.

Skills

SEBI Regulations

ECM/PE/M&A

Regulatory Audits

Drafting & Negotiation

Communication

Ethics & Compliance

Stakeholder Management

IPO Documentation

SEBI Inspections

Education

Law/Commerce degree (LLB/CS preferred)

Job description

Role & responsibilities

Job Description Compliance Officer (Merchant Banking & Advisory Services)

Position: Compliance Officer Department: Compliance & Legal

Job Title: Manager / Senior Manager Location:

Mumbai

Experience: 5 to 6 years of experience in compliance within merchant banking, investment banking, or financial services. Industry: Merchant Banking, Investment Banking, Corporate Advisory Position

Summary: This position will play a pivotal role in ensuring the companys legal soundness, governance excellence and full compliance with SEBI and other regulatory bodies. The Compliance Officer will be responsible for overseeing, implementing, and monitoring all compliance-related functions for a SEBI-registered Merchant Banker engaged in Equity Capital Markets (ECM), Private Equity (PE) syndication, M&A advisory, and other corporate advisory services. The role requires ensuring strict adherence to SEBI, RBI, Companies Act and other applicable regulations, internal policies, and industry best practices. This position involves close coordination with internal teams, regulators, clients, auditors, and external agencies to ensure full regulatory compliance and smooth functioning of merchant banking operations.

Qualifications & Skills

• Graduate/Postgraduate in Law, Commerce, or related field; LLB/CS preferred.
• Strong knowledge of SEBI regulations and ECM/PE/M&A processes.
• Proven experience in transactional documentation, regulatory audits and policy implementation.
• Excellent drafting, communication and negotiation skills.
• High ethical standards, attention to detail and ability to work in a high-paced, regulated environment.
• Strong stakeholder management ability to liaise with internal teams, regulators and external counsels effectively.
• Prior experience handling SEBI inspections, IPO documentation and regulatory filings preferred.

Key Responsibilities

1. Regulatory Compliance (Investment & Merchant Banking)
   • Ensure compliance with SEBI Merchant Banking Regulations, Companies Act ICDR, LODR, PIT, Takeover Code, and all applicable circulars and regulations for Investment Banking and Merchant Banking activities.
   • Oversee compliance checks for IPO, QIP, Rights Issue, Buyback, Open Offer, PE and M&A transactions.
   • Manage regulatory filings (including submissions to SEBI and other regulators), reports, disclosures, and responses to SEBI/Stock Exchange queries.
   • Handle SEBI inspections, SEBI Risk Supervision exercises, registration renewals and regulatory audits.
   • Implement internal compliance policies, SOPs, KYC/AML processes, and maintain statutory records.
   • Maintain and update SDD (Structured Digital Database), Grey Lists and Restricted Lists; oversee insider trading compliance and trade approvals.
   • Prepare and implement Advisory, Merchant Banking, and Underwriting Policies, address investor grievance redressal for MB transactions.
   • Provide regulatory advice to business teams and clients on MB regulations, deals and compliance requirements.
   • Conducting training for the employees to create awareness on compliance requirements.
2. Legal & Transactional Support
   • Draft, review and negotiate transactional documents such as: Engagement Letters, NDAs, Issue/Offer/Placement Agreements, Escrow Agreements, Underwriting and Syndicate Agreements, Letter of Indemnities, Offer Documents, Registrar Agreements and Service Provider Contracts.
   • Support IPOs, Rights Issues, Buybacks, Delisting Offers and other capital market transactions.
   • Support transaction teams with compliance requirements and review of documentation and transaction related agreements.
   • Maintain a repository of SEBI orders, adjudication rulings, court judgments and informal guidance relevant to Merchant Banking.
   • Draft and review demand notices for fee recovery and other operational documents.
   • Internal inspection of ECM transactions to ensure complete preparedness before SEBI inspections.
   • Coordinate with regulators, legal advisors, auditors, and internal stakeholders on compliance matters.
3. Compliance Monitoring & Risk Management
   • Monitor internal policies, procedures and business processes to ensure adherence to internal compliance frameworks.
   • Track regulatory circulars, notifications and guidelines; circulate updates to concerned teams.
   • Prepare AML (Anti-Money Laundering) reports and maintain compliance trackers.
   • Manage internal compliance dashboards and ensure prompt closure of audit observations.

Work Environment

• Be part of a reputed and fast-growing Investment Banking platform.
• Work on marquee IPOs, M&A, and Capital Market deals.
• Collaborate with top professionals in finance and law.
• Drive impact through governance, compliance, and ethical leadership.