Sr Compliance Officer Merchant Banking Qualified Cs Navi Mumbai

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

Job summary

HITACHI VANTARA INDIA PRIVATE LIMITED in Mumbai, India, is seeking a Senior Compliance Officer for merchant banking to oversee regulatory compliance and manage IPO mandates from inception to completion. The role requires CS qualification and 3+ years in a listed merchant banking environment.

The position offers a market-competitive salary up to 15 LPA, with opportunities to strengthen compliance programs and engage with regulatory authorities.

Qualifications

• CS qualification is mandatory.
• Min 3 years of experience in a listed merchant banking company.
• Experience in managing IPO mandates from inception to completion.
• Solid 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 companys operations.
• Prepare compliance reports for senior management and the board of directors.

Skills

IPO management

Regulatory compliance

Merchant banking

SEBI regulations

Compliance reporting

Education

Qualified 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 companys 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.
• Solid 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.
• Market-competitive salary and benefits package.
• Skilled growth and development opportunities.

Skills

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