Compliance Officer

We are looking out for a diligent, law-abiding, ethical, and meticulous Compliance Officer to join our team. Candidate shall be responsible for:

• Ensuring end to end compliance with provisions of the Companies Act 2013 and all acts / regulations pertaining to capital market intermediaries.
• Managing the Audit and other requirements of the license / membership pertaining to the company on an end to end basis across multiple products.
• Ensuring compliance under SEBI (Merchant Banking) Regulations, SEBI (Prohibition of Insider Trading) Regulations and all other applicable law to Merchant Banker.
• Any other compliance matters as assigned from time to time.
• Identify and implement compliance – new circulars / regulatory requirements / discuss and provide feedback & impact analysis or respond to discussion papers / proposed guidelines / changes as expected to be coming on the fore.
• Candidate should be able to communicate well at all levels and directly engage with Board of Directors and Managing Director and with all regulators on all compliance / audit related aspects.
• Vetting, executing commercial / legal agreements / vendor agreement contracts / MOU/ notices Non - disclosure Agreements / Engagement Letters / Referral agreements etc. (as needed to support the legal team on specific transactions)

• Qualification: LLB
• Experience: 8 to 10 years of experience in the compliance domain / department independently leading the team for at least 5 years. Experience in the Merchant banking compliance domain will be an advantage.