Senior Compliance Officer (Merchant Banking-Qualified CS)

LeDroit India; Mumbai; Sur place; INR 1 000 000 - 1 500 000; Plein temps

Avantages offerts par ce poste

Competitive salary

Professional growth opportunities

Dynamic work environment

Résumé du poste

al-fahad in Mumbai, India, is seeking a Senior Compliance Officer for its merchant banking operations. The role requires at least 3 years of relevant experience and a CS qualification, with responsibility for regulatory compliance across IPO mandates and ongoing governance. You will lead audits, develop training on compliance, liaise with regulators, and prepare reports for senior management. The position offers a competitive salary up to ₹15 LPA and growth opportunities in a dynamic firm.

Qualifications

• Must be a qualified Company Secretary (CS).
• Minimum of 3 years of experience in a listed merchant banking company.
• Proven experience managing IPO mandates from inception to completion.
• Strong understanding of compliance regulations in the financial sector.
• Excellent analytical and problem-solving skills.

Responsabilités

• Ensure compliance with regulatory requirements and internal policies for all merchant banking operations.
• Oversee and manage end-to-end IPO mandates, ensuring adherence to legal and regulatory frameworks.
• Conduct regular compliance audits and assessments to identify potential risks and areas for improvement.
• Develop and implement compliance programs and training for staff to promote a culture of compliance.
• Liaise with regulatory authorities and ensure timely submission of necessary documentation.
• Monitor changes in regulations and assess their impact on the company’s operations.
• Prepare compliance reports for senior management and the board of directors.

Connaissances

Regulatory compliance

IPO management

Analytical skills

Communication skills

Interpersonal skills

Formation

Qualified Company Secretary (CS)

Description du poste

Senior Compliance Officer vacancy available at al-fahad – Mumbai District, Maharashtra. At least 3 years of experience is required.

₹10,00,000 – ₹15,00,000 a year

Full job description

Senior Compliance Officer – merchant banking
Location: Mumbai, India
Budget: Up to ₹15 LPA
Experience Level: Senior Level

Key Responsibilities:

• Ensure compliance with regulatory requirements and internal policies for all merchant banking operations.
• Oversee and manage end-to-end IPO mandates, ensuring adherence to legal and regulatory frameworks.
• Conduct regular compliance audits and assessments to identify potential risks and areas for improvement.
• Develop and implement compliance programs and training for staff to promote a culture of compliance.
• Liaise with regulatory authorities and ensure timely submission of necessary documentation.
• Monitor changes in regulations and assess their impact on the company’s operations.
• Prepare compliance reports for senior management and the board of directors.

Qualifications:

• Mandatory: Qualified Company Secretary (CS).
• Minimum of 3 years of experience in a listed merchant banking company.
• Proven experience in managing IPO mandates from inception to completion.
• Strong understanding of compliance regulations in the financial sector.
• Excellent analytical and problem‑solving skills.
• Strong communication and interpersonal skills.

Why Join Us:

• Opportunity to work in a dynamic environment with a leading merchant banking firm.
• Competitive salary and benefits package.
• Professional growth and development opportunities.

Experience:

• merchant banking: 3 years (Required)