Apply with hirly
Compliance Officer (merchant banking/ SEBI/Capital market regulation)
Careerbloc · Mumbai, Maharashtra, India
Upload your resume to see how well you match this job — free, in seconds, no account needed.
Your resume is used only to score it against this job. If you don't create an account, it is deleted within 24 hours.
About the Opportunity A dynamic player in the Indian merchant banking and financial services sector, we specialize in facilitating capital raising, M&A advisory, and regulatory compliance for high-growth enterprises and institutional clients. Our Compliance Officer plays a pivotal role in safeguarding the firm’s reputation, ensuring adherence to financial regulations, and enabling seamless transaction execution under SEBI, RBI, and FEMA frameworks. Role & Responsibilities
- Monitor and ensure compliance with SEBI, RBI, FEMA, and other applicable financial regulations across merchant banking activities.
- Conduct internal audits and risk assessments to identify compliance gaps and recommend corrective actions.
- Review client onboarding documentation, KYC processes, and transactional workflows to ensure regulatory alignment.
- Prepare and submit statutory reports and disclosures to regulators in a timely and accurate manner.
- Collaborate with legal, finance, and product teams to embed compliance controls into new offerings and deal structures.
- Conduct compliance training sessions for internal teams and maintain updated compliance policy documentation. Skills & Qualifications Must-Have
- SEBI Certified Compliance Officer
- Proficiency in FEMA and RBI guidelines
- Experience with KYC/AML frameworks
- Familiarity with merchant banking operations
- Knowledge of corporate law and securities regulations
- Advanced MS Excel for compliance reporting Preferred
- CS or CA qualification
- Experience in M&A or private equity compliance
- Working knowledge of compliance management software (e.g., MyCompliance, ComplyChain) Benefits & Culture Highlights
- Hybrid workplace with core on-site days in Mumbai/Bangalore
- Direct exposure to high-value transactions and institutional clients
- Structured growth path with certification support and internal mobility