AddressCompliance Officer - Merchant Banking
Job Purpose: Managing all Compliance related activities for Merchant Banking
Qualifications: Bcom/BMS/BFS with CS preferred
Experience : 3-5 years in Merchant banking, PMS and AIF related activities
Key Responsibilities:
- The primary responsibility is to ensure that the merchant banker/AIF adheres to all SEBI regulations, guidelines, and circulars/Master circulars;
- To stay updated on regulatory changes, interpreting their implications for the business, and implementing necessary actions to ensure compliance;
- To Develop, review, and update compliance policies, procedures, and manuals in line with SEBI regulations and industry best practices and also implement at root level;
- To Prepare and submit periodic compliance reports to SEBI as required by Merchant Baking and AIF regulations;
- To Maintain comprehensive records of compliance activities, including audits, investigations, and corrective actions taken;
- To identify potential compliance risks and develops strategies to mitigate them;
- To monitoring activities within the organization to detect any compliance breaches and taking corrective actions when necessary;
- Serve as the primary point of contact for regulatory inquiries, inspections, and audits conducted by SEBI. Coordinate responses to regulatory requests and facilitate inspections or examinations as needed;
- Develop and deliver compliance training programs for employees to ensure awareness of regulatory requirements and internal policies. Provide ongoing guidance and support to employees on compliance-related matters;
- Drafting and Vetting Business Agreements: Review, draft, and vet various business agreements, including client engagement letters, confidentiality agreements, vendor contracts, and other legal documents. Ensure that agreements comply with regulatory requirements and internal policies. Collaborate with legal counsel as needed.
