Compliance Officer - ECM NEW

PNB Investment Services Ltd.; Mumbai; Sur place; INR 1 200 000 - 2 400 000; Plein temps

Résumé du poste

PNB Investment Services Ltd. in Mumbai seeks a capable compliance professional with exposure to merchant banking regulations.

The role involves ensuring end-to-end compliance with the Companies Act 2013 and all applicable merchant banker rules, while implementing robust frameworks around Chinese Walls and insider information. Strong communication and cross-functional collaboration are essential as you manage audits and legal agreements.

Qualifications

• CS/LLB degree from reputed institutes.
• 3+ years in compliance, preferably in merchant banking.
• Strong knowledge of SEBI, Companies Act, FEMA requirements.
• Excellent written and verbal communication skills.
• Ability to work across multiple products and teams.

Responsabilités

• Ensure end-to-end compliance with Companies Act 2013 and merchant banker regulations.
• Ensure compliance under SEBI Merchant Banking Regulations and Insider Trading Regulations.
• Implement compliance frameworks incl. Chinese Walls and related controls.
• Manage audits and license/membership requirements across products.
• Address other compliance matters as assigned.

Connaissances

Self-driven

Dynamic

Out-of-box thinking

Written & spoken English

Results oriented

Formation

CS/LLB

Outils

MS Office

Description du poste

Job Responsibilities

The role will include but not limited to the following: –

• Ensuring end to end compliance with provisions of the Companies Act 2013 and all acts / regulations pertaining to Merchant Banker.
• Ensuring compliance under SEBI (Merchant Banking) Regulations, SEBI (Prohibition of Insider Trading) Regulations and all other applicable law to Merchant Banker.
• Understanding and implementing compliance frameworks concerning Chinese Walls, Wall Crossing, Insider Information, and other investment banking and equities business dynamics to ensure a robust compliance environment
• Managing the Audit and other requirements of the license / membership pertaining to the company on an end-to-end basis across multiple products.
• Any other compliance matters as assigned from time to time.
• Identify and implement compliance – new circulars / regulatory requirements / discuss and provide feedback & impact analysis or respond to discussion papers / proposed guidelines / changes as expected to be coming on the fore.
• Vetting, executing commercial / legal agreements / vendor agreement contracts / MOU/ notices Non – disclosure Agreements / Engagement Letters / Referral agreements etc. (as needed to support the legal team on specific transactions)

Ideal Candidate Profile :

Education:

• CS/LLB from reputed institutes will be preferred

Experience:

• Minimum of 3+ years of experience in the compliance domain / department. Experience in Merchant Banking compliance domain will be advantage.

Competencies:

• Well versed with guidelines/regulations of SEBI, Companies Act, FEMA, tc required for execution of Capital Markets transactions.
• Deep understanding of equity capital markets, IPOs, follow-ons, rights issues, and other equity financing methods.
• Good knowledge of Microsoft Office Suite (Excel, Word)
• Excellent verbal and written communication skills, with the ability to present and negotiate at all organizational levels.
• Self-motivated, with a strong desire to learn and deliver

Skills:

• Self-driven and Dynamic
• Able to think out-of-box and come up with innovate ideas
• Excellent written and oral communication skills in English
• Results oriented
• Problem solving skills

Why Join Us:

• Competitive salary and performance-based incentives.
• Opportunities for career growth and professional development.
• Collaborative and dynamic work environment.
• Exposure to high-profile and complex financial transactions.