SMC Group - Compliance Officer - Investment Banking - CS + LLB

- To monitor the business to ensure it is operating according to applicable regulatory requirements (Merchant Banking Regulations, ICDR Regulations, Companies Act etc.)

- Work closely with the deal execution team to provide analysis, compliance check and a resolution on compliance matters for the transaction under execution.

- Conduct compliance check for documents such as engagement letter, non disclosure agreement, etc. in relation to prospective business leads.

- Provide regulatory advice and guidance regarding internal policies.

- Draft and implement new policies and procedures and update existing policies and procedures.

- Tracks/documents compliance projects, registration requirements and compliance affirmations.

- Undertake periodic reporting to regulatory bodies such as SEBI, RBI, etc.

- Assist with the coordination of inspections with various government and regulatory organizations.

- Prepare and maintain a robust reporting and monitoring framework in line with external (SEBI, RBI etc.) and internal requirements.

- Reporting non-compliance issues to management.

- Networking with other compliance officers in the industry in order to stay current with regulatory issues and leading practices.

- Build a rapport with SEBI and other governing bodies including active engagement for requisite clarifications and approvals from time to time.

- Identify possible areas of compliance risk and develop action plans for resolution.

- Provide advice on new business and product proposals to identify and address compliance and regulatory risk.

Education Qualification: CS and LLB

Experience; Should have good communication skills

Proactive : 3-6 years experience in same profile

Salary range: 6 - 9 LPA