Compliance Officer Merchant Banking - Investment Banking

Intellectual Capital HR Consulting Pvt. Ltd.; Gurugram District; On-site; INR 600,000 - 900,000; Full time

Job summary

Intellectual Capital HR Consulting Pvt. Ltd. is seeking an experienced Compliance Officer to join its Merchant Banking / Investment Banking team in India.

The role focuses on ensuring adherence to SEBI regulations, Companies Act, stock exchanges, and related regulatory requirements across capital-market transactions. The candidate will review deal documentation, coordinate with SEBI, exchanges, legal counsel, auditors and merchant bankers, and drive timely regulatory filings, risk assessment and

Qualifications

• CS qualification preferred; experience in merchant/investment banking.
• Strong knowledge of SEBI Merchant Bankers Regulations, ICDR, LODR.
• Experience with regulatory interactions and transaction execution is advantageous.
• Ability to manage regulatory filings and due diligence.

Responsibilities

• Ensure compliance with SEBI, Companies Act, stock exchange and other regulatory requirements.
• Handle compliance matters relating to Merchant Banking activities and capital-market transactions.
• Monitor and advise on regulatory requirements for IPO, FPO, Rights Issue, QIP, Open Offer and other ECM transactions.
• Review transaction-related documentation from a regulatory and compliance perspective.
• Coordinate with SEBI, stock exchanges, legal counsel, auditors, merchant bankers and other stakeholders.
• Ensure timely regulatory filings, reporting and maintenance of compliance records.
• Monitor internal policies, SOPs, compliance frameworks and regulatory updates.
• Support due diligence and identify potential compliance and regulatory risks.
• Provide compliance guidance to deal teams and senior management.
• Track and implement changes in applicable SEBI regulations, circulars and guidelines.
• Assisting in transaction execution.

Skills

Company Secretary

SEBI regulations

Merchant Banking

Capital markets

Regulatory compliance

Stakeholder management

Documentation

Education

Company Secretary (CS)

Job description

Role & responsibilities

Hiring | Compliance Officer Merchant Banking / Investment Banking

We are looking for an experienced Compliance Officer to join our Merchant Banking / Investment Banking team.

The ideal candidate will have strong knowledge of SEBI regulations, merchant banking regulations, capital markets and corporate compliance, with the ability to manage regulatory requirements in a fast-paced investment banking environment.

Key Responsibilities:

• Ensure compliance with applicable SEBI, Companies Act, stock exchange and other regulatory requirements.
• Handle compliance matters relating to Merchant Banking activities and capital-market transactions.
• Monitor and advise on regulatory requirements for IPO, FPO, Rights Issue, QIP, Open Offer and other ECM transactions.
• Review transaction-related documentation from a regulatory and compliance perspective.
• Coordinate with SEBI, stock exchanges, legal counsel, auditors, merchant bankers and other stakeholders.
• Ensure timely regulatory filings, reporting and maintenance of compliance records.
• Monitor internal policies, SOPs, compliance frameworks and regulatory updates.
• Support due diligence and identify potential compliance and regulatory risks.
• Provide compliance guidance to deal teams and senior management.
• Track and implement changes in applicable SEBI regulations, circulars and guidelines.
• Assisting in transaction execution.

Candidate Profile:

• Qualified Company Secretary (CS) preferred.
• Relevant experience in Merchant Banking, Investment Banking, Capital Markets, ECM or Regulatory Compliance.
• Strong understanding of SEBI Merchant Bankers Regulations, ICDR, LODR and other capital-market regulations.
• Excellent analytical, documentation and stakeholder-management skills.
• Experience in handling regulatory interactions and transaction execution will be an advantage.