Merchant Banking Compliance - Mumbai, India - Arin Consultancy

Arin Consultancy

Verified Company

Mumbai, India

3 weeks ago

Posted by:

Deepika Kaur

beBee Recuiter

Description

Legal / Law Mumbai _Mumbai_ November 24, November 24, 2024 Financial Services

Job Overview:

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Office Location (Area) Mumbai
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Salary Offer LPA
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Required Education CS
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Course Type Full Time
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Min Required Experience (Years) 8
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Max Required Experience (Years) 8

Function:
Compliance (Merchant Banking Division)

Location:
Mumbai

Qualifications:

Qualified as Company Secretary with LLB or CA degree preferred

Work Experience (highlight):

Work experience of 8-10 years and above. Must have exposure & experience in managing compliance aspects and understanding & awareness about financial service sector.

Core Purpose of the Role:

Manage Compliance aspects of Investment Banking (Lead Manager activities, Arranger ship
CP / NCD
Ensure all regulatory submissions / filing are done in time and record is maintained
All relevant policies are regularly updated and ensure compliance thereof
Ensure new circulars released by regulators are timely reviewed, discussed and implemented (Guide various teams, make plan and ensure implementation)
Responsible for Managing Initial Public issues / Buy backs / Valuations / Right issues (Review of documents, coordination with various partners in the issue i.e. Other arrangers, issuers, Brokers, legal, exchanges etc) in terms of the obligations of a merchant banker
Ensure that all Merchant banking transactions are executed as per regulatory guidelines and within timelines
Manage relationships with regulators and assist with the Company's response to regulatory inspection / observations
Assist in various compliance matters / opinions in day to day activities, Review of various documents
Ensure timely completion of inspections
Managing customer (internal) queries in a timely manner to resolve grievances
Regular updates / training to employees related to compliance, AML, Insider Trading, SDD etc.
Responding to customer complaints relating to the activities undertaken by the Company in a timely manner

Skills: