Senior Manager / Vice President – Compliance (Merchant Banking)

Job Description :

Job Summary

We are looking for experienced Compliance professionals to join the Merchant Banking team of a capital markets organization in Ahmedabad. The selected candidates will be responsible for ensuring regulatory compliance, managing statutory and regulatory requirements, and supporting merchant banking activities in accordance with applicable SEBI regulations and capital market guidelines.

The ideal candidate will have strong knowledge of SEBI regulations, merchant banking compliance, investment banking, capital markets, and IPO transactions, preferably gained through experience with a SEBI-registered Merchant Banker.

Key Responsibilities

Regulatory Compliance & Governance

• Ensure compliance with applicable SEBI regulations, circulars, guidelines, and other relevant regulatory requirements.
• Monitor regulatory updates and assess their impact on merchant banking operations.
• Develop, implement, and maintain compliance policies, procedures, and internal controls.
• Ensure timely completion of regulatory filings, disclosures, and reporting requirements.
• Maintain accurate compliance records, registers, and supporting documentation.

Merchant Banking & IPO Compliance

• Support regulatory compliance for IPOs and other capital market transactions.
• Review transaction-related documents, disclosures, and regulatory submissions.
• Coordinate with internal teams, legal advisors, auditors, stock exchanges, and regulatory authorities.
• Monitor compliance requirements throughout the transaction lifecycle.
• Ensure adherence to applicable merchant banking regulations and issue-related guidelines.

Compliance Monitoring & Risk Management

• Conduct compliance reviews and identify potential regulatory risks or gaps.
• Implement corrective actions to address compliance issues.
• Support internal audits, regulatory inspections, and compliance assessments.
• Maintain compliance trackers, risk registers, and reporting dashboards.
• Provide guidance to internal stakeholders on regulatory obligations and compliance best practices.

Stakeholder Coordination & Reporting

• Coordinate with senior management and business teams on compliance matters.
• Liaise with regulatory authorities, stock exchanges, depositories, and other relevant stakeholders, as applicable.
• Prepare compliance reports and updates for senior management.
• Support the development of a strong regulatory governance and compliance culture.

Required Skills & Competencies

• Strong understanding of SEBI regulations and capital market compliance.
• Knowledge of merchant banking regulations and regulatory reporting requirements.
• Exposure to IPO transactions, public issues, and related compliance processes.
• Understanding of investment banking and capital market operations.
• Strong analytical, documentation, and regulatory interpretation skills.
• Excellent communication and stakeholder management abilities.
• High attention to detail, integrity, and professional judgment.
• Ability to manage multiple regulatory and transaction-related deadlines.

Required Experience & Qualifications

• Senior Manager: 5–7 years of relevant compliance experience.
• Vice President: 7–8 years of relevant compliance experience.
• CS, CA, or MBA in Finance.
• Experience with a SEBI-registered Merchant Banker is strongly preferred.
• Prior exposure to investment banking, capital markets, IPOs, or public issue transactions is highly desirable.
• Relevant experience in regulatory compliance, transaction documentation, and SEBI-related reporting.

Preferred Candidate Profile

The ideal candidate will be a regulatory-focused professional with strong technical knowledge, sound judgment, and practical experience in merchant banking or capital markets.

The candidate should be:

• Well-versed in SEBI regulations and capital market compliance.
• Experienced in supporting IPOs and merchant banking transactions.
• Strong in regulatory documentation, reporting, and compliance monitoring.
• Capable of working with senior stakeholders and external regulatory counterparts.
• Proactive, detail-oriented, and committed to maintaining high compliance standards.

Experience : 5 - 8

Timing : 10:00 AM - 7:00 PM

Working Shift : Day Shift (Onsite)

Job Type : Full Time

Category : Relationship

Salary : Best in industry

Skills : Excellent Communication

Keywords : Merchant Banking Compliance | SEBI Regulations | Capital Markets | Investment Banking | IPO Compliance

Interested candidates kindly share your resume on [email protected] or WhatsApp on 7041997743