Compliance Role - Merchant Banking (3-6 yrs)

Qualification:

MBA/CA/CS having relevant experience of more than 3-5 years

Job Description/Responsibility:

- Transaction Compliances including required documentation vetting of Merchant Banking deals for Equity and Debt

- Ensuring transaction related executions in a timebound manner

- Ensuring SOP's and policies implementation for Merchant banking deals

- Implementation of SEBI and Stock Exchange(s) Circulars: Checking for new circulars.

- Preparing Gist of the same, circulating the same to the concerned departments and ensuring implementation of the same.

- Drafting and implementation of Policies regulatory and governance perspective

- Preparation and implementation of KYC and other documents on regular basis as per prevailing guidelines

- Providing assistance to other department on Compliance related area and resolving queries raised by them.

- Dealing with Internal Auditors and Inspection Team and conducting verification of data before providing the data to them

- Compliance health check up : Conducting reviews of various activities, forms, processes as per regulatory guidelines

- PMLA compliance: Surveillance Alerts and PMLA regulation / policy implementation on regular basis

- Ensuring proper Investor grievances mechanism in accordance with SEBI requirements

- Liaison with SEBI / Exchanges /Depositories Officials and preparing the details/replies for queries raised by them and clarification for deals related matters

- Submission of Periodical returns with SEBI

- Prevention of Insider Trading compliances

- Tracking Regulatory Scores portal and SMART ODR

- Ensuring compliances in accordance with various applicable SEBI Regulations including

Merchant Banking Regulations.