Compliance Officer - ECM/Merchant Banking

Role: Compliance Officer

Location: Mumbai

About Our Client:

A prominent player in the Indian financial industry, renowned for providing exceptional financial advice and custom-tailored capital solutions for their diverse clientele. Their deep understanding of the Indian market allows them to offer a comprehensive suite of services.

The Opportunity:

Compliance Officer - Become the legal backbone of our esteemed Legal and Compliance team, playing a critical role in safeguarding the company's financial integrity.

Why You'll Love This Role:

Make a real impact: Ensure our operations adhere to the highest legal standards by applying your in-depth knowledge of financial regulations and your proven track record in the financial services industry.

Shape the future: Play a key role in developing compliance frameworks for new products and complex deals, helping us navigate the ever-evolving financial landscape in areas like Merchant Banking and Equity Capital Markets compliance.

Become the legal go-to person: Provide insightful counsel on a wide range of legal matters across funds, wealth management, disputes, and litigation.

Draft with precision: Guarantee all agreements and templates are legally sound and up-to-date with regulatory changes.

Join a winning team: Contribute to a highly respected organization known for its commitment to innovation and success.?

The Scope of Your Expertise:

Legal Guardian: Manage the legal affairs and legal risks of the entire organization, ensuring compliance with all relevant regulations.

Trusted Advisor: Provide comprehensive legal advice across various areas, becoming the go-to person for legal matters related to funds, fund documentation, wealth management, investment products, disputes & litigation, SEBI matters, and commercial agreements.

Standardization Expert: Develop and maintain standard agreements and legal/regulatory guidelines for products and documentation. You'll also ensure these documents are kept up-to-date with any regulatory changes.

Dealmaker Supporter: Offer legal support in launching new products and structuring complex deals. This includes drafting, vetting, and negotiating all contracts, agreements, and other relevant documentation.

Risk Management Strategist: Analyze and assess contractual risks, legal risks, and financial risks in ECM, Merchant Banking, IB, and other agreements to protect the company's interests.

Legal Change Navigator: Monitor legal developments that may impact the business and proactively provide legal advice and support to address them.

Compliance Champion: Assist the legal team in adhering to all Group-level legal policies. You may also be responsible for setting up new legal policies and procedures to reflect specific requirements.

Who Our Client is Looking For:

Legal Powerhouse: A qualified lawyer (7-12 years of experience) with a demonstrably successful background in ECM/Merchant Banking Compliance. Ideally, you possess a NISM Series IX certification, positioning you perfectly for the designated compliance officer role.

Clear Communicator: You can explain complex legal matters in a way everyone understands.

Team Player: Ability to collaborate effectively with diverse teams across the organization.

Eagle Eye: Strong attention to detail and the ability to manage multiple tasks efficiently under pressure.

Ready to make a difference?

If you're a highly motivated legal professional seeking to utilize your expertise in a dynamic and influential role, then we encourage you to apply!