Sr Compliance Officer (Merchant Banking-Qualified CS)

GLOBELANCE; Jalgaon; On-site; INR 900,000 - 1,500,000; Full time

Benefits offered by this job

Competitive salary

Benefits package

Growth opportunities

Job summary

GLOBELANCE is seeking a Senior Compliance Officer for merchant banking in Mumbai to ensure regulatory adherence across IPO mandates and internal policies. The role requires CS qualification and at least 3 years in a listed merchant banking setting.

The candidate will monitor regulatory changes, liaise with authorities, and design compliance programs for staff. A strong analytical mindset and excellent communication are essential.

Qualifications

• Mandatory: 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.

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.

Skills

Analytical skills

Problem-solving

Communication skills

Interpersonal skills

Regulatory compliance

Education

Company Secretary (CS)

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.

Skills: adherence,operations,ipo,sebi regulations,compliance,merchant banking,regulations,quaified company secretary,cs