Sr Compliance Officer (Merchant Banking-Qualified CS)

HITACHI VANTARA INDIA PRIVATE LIMITED; Mumbai; On-site; INR 1,350,000 - 1,650,000; Full time

Benefits offered by this job

Competitive salary

Benefits package

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED is seeking a Senior Compliance Officer for merchant banking in Mumbai. The role focuses on regulatory compliance across merchant banking operations, overseeing IPO mandates from start to finish, and cultivating a strong compliance culture within the team.

The ideal candidate holds a CS qualification with at least 3 years in a listed merchant banking setting, and possesses robust analytical and communication skills to interact with regulators and senior

Qualifications

• Must have valid Company Secretary (CS) qualification.
• Minimum 3 years of experience in a listed merchant banking company.
• Proven experience managing IPO mandates from inception to completion.

Responsibilities

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

Skills

Regulatory compliance

IPO management

Audit & risk assessment

Analytical thinking

Communication skills

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.