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Compliance Officer
Pune E Stock Broking
posted 14hr ago
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Job Description
- Compliance Officer - Merchant Banking
About Us:
- Pune E Stock Broking is a veteran and in the secondary Indian capital markets. We now seek to extend our success in the Primary Market as well. Our focus is on being the preferred partners for growth minded businesses -- looking to raise funds; and hence act as a catalyst of the India growth story.
- We are seeking a skilled and experienced Compliance Officer to ensure adherence to SEBI regulations.
- Responsibilities:
- Oversee and ensure compliance with SEBI regulations and guidelines applicable to merchant banking activities.
- Act as a liaison between the company and regulatory authorities, including SEBI.
- Develop, implement, and monitor compliance programs and policies to ensure company operations align with statutory requirements.
- Conduct regular internal audits and reviews to assess the effectiveness of compliance procedures.
- Provide advisory support to management and departments on regulatory matters and updates.
- Prepare and submit necessary compliance reports and filings to SEBI and other relevant authorities.
- Manage and address regulatory inspections, queries, and audits effectively.
- Ensure the companys policies and procedures are aligned with best practices and industry standards.
Qualifications:
- Qualified Company Secretary (CS) or LLB.
- Minimum 2 Years of prior experience in merchant banking or a listing compliances.
- In-depth knowledge of SEBI regulations, SEBI intermediatory guidelines, and merchant banking laws.
- Strong understanding of corporate governance and compliance frameworks.
- Exceptional analytical, organizational, and problem-solving skills.
- Excellent communication and interpersonal abilities.
What We Offer:
- Competitive compensation and benefits package.
- Opportunity to use your leadership to forge a solid department.
- A chance to contribute to a highly respected and innovative organization.
Employment Type: Full Time, Permanent
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