Senior Manager/AVP - Compliance - Merchant Banking Division - Financial Services

Compliance Merchant Banking Financial Services

Talent Profile - Compliance (MBD)

Function : Compliance (Merchant Banking Division)

Location : Mumbai

Position Title : Sr Manager / AVP

Qualifications:

Qualified as Company Secretary with LLB or CA degree preferred

Work Experience (highlight) :

- Work experience of 8-10 years and above. Must have exposure & experience in managing compliance aspects and understanding & awareness about financial service sector.

Core Purpose of the Role :

- Manage Compliance aspects of Investment Banking (Lead Manager activities, Arranger ship - CP / NCD

- Ensure all regulatory submissions / filing are done in time and record is maintained

- All relevant policies are regularly updated and ensure compliance thereof

- Ensure new circulars released by regulators are timely reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)

- Responsible for Managing Initial Public issues / Buy backs / Valuations / Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers, legal, exchanges etc) in terms of the obligations of a merchant banker

- Ensure that all Merchant banking transactions are executed as per regulatory guidelines and within timelines

- Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations

- Assist in various compliance matters / opinions in day to day activities, Review of various documents

- Ensure timely completion of inspections

- Managing customer (internal) queries in a timely manner to resolve grievances

- Regular updates / training to employees related to compliance, AML, Insider Trading, SDD etc.

- Responding to customer complaints relating to the activities undertaken by the Company in a timely manner

Skills:

- Expertise in liaison work with SEBI / Exchanges

- Excellent communication

- Solution Orientation

- Positive Attitude

- Decision making ability