Z-2743 | Compliance Officer – Merchant Banking Division (MBD) / Equity Capital Markets (ECM)

Location :- Goregaon east

JOB PURPOSE

The candidate should have a deep understanding of the rules, regulations and processes relevant to the various aspects of merchant banking compliances. The candidate should possess strong communication skills and the ability to manage multiple tasks.

PRINCIPAL ACCOUNTABILITIES

a.  To monitor the business to ensure it is operating according to applicable -:

• Regulatory requirements, (SEBI Regulations, Companies Act etc.)
• Formulating/Updation of Internal policies and Standard Operating Processes
• Providing regulatory advice and guidance regarding regulations and internal polices
• Works closely with ECM team to provide analysis and a resolution on compliance matters
• Tracks/documents compliance projects, registration requirements and compliance affirmations.
• Keeping in compliance with Insider Trading Regulations, PMLA etc

b. Reporting:

• Preparing and maintaining a robust reporting and monitoring framework in line with external (SEBI, RBI etc.) and internal requirements
• Reporting non-compliance issues to management & risk committees
• Directing / Escalating compliance issues to appropriate resources for investigation
• Filing of half yearly report with SEBI
• Preparation of board review minutes 

c. Liaisoning & Networking:

• Networking with other compliance officers in the industry in order to stay current with regulatory issues and leading practices.
• Build a strong rapport with SEBI and other governing bodies including active engagement for requisite clarifications and approvals from time to time

d. Training & Development:

• To develop and deliver training programs to increase understanding of regulatory requirements, compliance policies and ethical conduct within business lines