Compliance Manager - Merchant Banking (5-15 yrs)

Compliance Manager - Merchant Banking

Looking for a senior person to work in compliance department for a merchant banking business started by a group of leading professionals from investment banking industry. You will play pivotal role in leading and managing the execution of capital market assignments. Your primary responsibility is to execute deals related to equity and capital market.

Candidates having worked at following list of organizations would be highly preferred for this role- Hem Securities, Pantomath Capital, Aryaman Financial Services, Shreni Capital, GYR Capital, Sundae Capital Advisors, Gretex Corporate Services, Edelweiss financial services, JM financial, Fedex Securities ltd, Tipsons Group, Corporate Capital Ventures Private Limited, Finshore Management Services, SPA Capital Advisors, First Overseas Capital, Unistone Capital, Ekadrisht Capital, Anand Rathi Services, Saffron Capital Advisors, Sarthi Capital.

Job description:

- Execution of equity and capital market deals i.e. IPO (Initial Public Offering), Rights Issue, FPO, Open Offer under Buyback, Takeover, De-listing.

- Preparation of Offer Documents in compliance with the SEBI (Issue Of Capital And Disclosure Requirements), Regulations and other relevant filing / reporting documents for SEBI and Stock Exchanges

- Liaising with clients, legal advisors, registrar, auditors, syndicate members, other advisors, SEBI, Stock Exchanges and other intermediaries involved

- Good knowledge of SEBI Rules and Regulations, Companies Act, Due Diligence and Processes & Practices of various- Merchant- Banking- deals

- Preparation/ delivering of presentations w.r.t to amendment in any of the Act, Regulations, Rules as applicable

Key Responsibilities:

- Assisting/ coordinating the clients in completing due-diligence and in drafting of offer documents.

- Working and completing a given assignment within a stipulated timeline.

- Collaborate with internal teams, external advisors, and other stakeholders.

Qualification/Skills Required:

- C.A./ C.S. or MBA with at least 5+ years of experience in Investment Banking and; Merchant Banking with a demonstrated history of working in the financial services industry. Merchant banking licensed.

- Should have worked in the areas of Company Law, SEBI Regulations with experience in Execution of services such as SME IPO (Initial Public Offering), Buy Back, Migrations, Open offer takeover and Business valuation.

- Prior experience in Initial Public Offering, Financial Analysis, Right Issues, Mergers & and Acquisitions.

- Self-directed, highly motivated, and able to work independently and in a team.

- Highly driven, detail-oriented, diligent with strong analytical, communication and writing skills.