Equirus Wealth - Compliance Officer - Loan Against Securities

About Equirus:

Equirus is a leading mid-market investment bank with strong practices around M&A, PE, Capital Markets, Institutional Equities, Wealth Management, Insurance Broking, and Portfolio Management Services.

About Compliance Role:

The Compliance Officer - LAS will be responsible for ensuring that all operations, documentation, and transactions under the Loan Against Securities (LAS) business comply with applicable RBI guidelines, SEBI regulations, and internal Equirus Group policies. The role involves continuous monitoring of regulatory adherence, risk governance, reporting, and policy implementation within the LAS vertical.

Key Responsibilities:

- Regulatory Compliance & Governance: Ensure compliance with RBI Master Directions for NBFCs, LAS-related regulatory norms, SEBI / depository guidelines and Companies Act compliances.

- Policy Implementation & Review: Assist in drafting, reviewing, and updating LAS-related policies, Standard Operating Procedures (SOPs), and internal control frameworks.

- Monitoring & Reporting: Monitor client-level exposures, margin call practices, and portfolio monitoring for compliance with internal and regulatory limits.

- Audit & Inspection Coordination: Facilitate internal, statutory, and regulatory audits, ensuring timely submission of data and resolution of audit observations.

- Stakeholder Management: Collaborate with Business, Operations, Risk, Credit, and Legal teams to ensure compliance is embedded into day-to-day processes.