Sr Compliance Officer (Merchant Banking-Qualified CS)

Globelance; Maharashtra; On-site; INR 1,000,000 - 1,500,000; Full time

Job summary

GLOBELANCE is seeking a Senior Compliance Officer in the Mumbai Metropolitan Region to lead regulatory compliance and IPO mandates within merchant banking. You will oversee end-to-end IPO projects, ensure adherence to financial regulations, and coordinate with regulators.

The role requires a qualified Company Secretary with at least 3 years' experience in a listed merchant banking company. You will manage audits, train staff, and report to senior management and the board.

Qualifications

• Qualified Company Secretary (CS) with at least 3 years in a listed merchant banking company.
• Proven hands-on experience in end-to-end IPO mandates.
• Strong knowledge of compliance regulations in the financial sector.

Responsibilities

• Ensure regulatory compliance for all merchant banking operations.
• Oversee end-to-end IPO mandates from inception to completion.
• Conduct regular compliance audits and risk assessments.
• Develop and implement compliance programs and staff training.
• Liaise with regulators and ensure timely documentation.
• Monitor regulatory changes and assess impact on operations.
• Prepare detailed compliance reports for senior management.

Skills

Regulatory compliance

IPO management

Stakeholder liaison

Education

Company Secretary (CS)

Job description

G

Organising Institution / Firm

GLOBELANCE

Rolling Basis (Official)

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.

Jobs

Full Opportunity Brief

Contextual Overview

GLOBELANCE is hiring a Senior Compliance Officer specializing in merchant banking for a full-time role located in the Mumbai Metropolitan Region. The position focuses on managing regulatory compliances, IPO mandates, and financial sector legal frameworks.

Key Eligibility Criteria

• Mandatory: Qualified Company Secretary (CS).


• Minimum of 3 years of experience working in a listed merchant banking company.


• Proven hands-on experience in managing end-to-end IPO mandates from inception to completion.


• Strong understanding of compliance regulations within the financial sector.

Responsibilities & Scope of Work

• Ensure compliance with regulatory requirements and internal policies for all merchant banking operations.


• Oversee and manage end-to-end IPO mandates with strict adherence to legal frameworks.


• Conduct regular compliance audits and assessments to identify potential risks.


• Develop and implement compliance programs and training sessions for staff.


• Liaise with regulatory authorities and ensure timely submission of required documentation.


• Monitor changes in regulations and assess their direct operational impact.


• Prepare detailed compliance reports for senior management and the board of directors.

Stipend, Compensation & Mode

Base Pay Range: ₹1,000,000 to ₹1,500,000 per year (Up to ₹15 LPA), based on qualifications and experience.