Dolat Capital
Website:
dolatcapital.com
Job details:
About This Job
Dolat Capital
Location: Mumbai, Maharashtra, India
Work Mode: On-site
Industry: Financial Services
Job Description
Job Description - Dolat Capital Market Pvt. Ltd.
Job Title : Compliance Officer -- ECM
Department / Group : Investment Banking
Location: Mumbai
Experience: 4 to 6 years of post-qualification experience in compliance roles, preferably within investment banking, ECM, institutional equity, capital markets, End-to-End IPO/ECM execution, M&A, or SEBI-regulated environments.
About Dolat Capital
Dolat Capital Group has established itself as a key player in the Indian financial landscape, with over two decades of excellence in institutional equities. Our commitment to superior financial services and insightful market analysis has been at the heart of our success.Data Analytics and Research Team: Our team specializes in sector analyses that provide actionable insights, empowering clients to make well-informed decisions crucial to success in the financial markets.Market Specialization: We focus on Indian mid-caps and derivatives, enabling institutional clients to strategically position their portfolios and generate alpha.Asset, Private Wealth Management & Investment Banking: We offer services in Alternative Investment Funds (AIF), Private Wealth Management, and Investment Banking, providing comprehensive financial solutions that meet diverse client needs.
Job Summary
We are seeking a detail-oriented, regulation-savvy Compliance Officer to support the Investment Banking ECM & Valuations team in handling statutory, regulatory, and operational compliance requirements associated with IPOs, QIPs, Rights Issues, Open Offers, Buybacks, Delistings, and Corporate Restructuring mandates.
The Compliance Officer will ensure that all transactions are executed in strict adherence to applicable laws and guidelines, especially those prescribed by SEBI, ICDR, LODR, MCA, FEMA, Company Law, and relevant capital markets regulations. The incumbent will work closely with the Investment Banking team, legal advisors, regulators, and internal compliance stakeholders to implement robust governance and risk mitigation frameworks across ECM and strategic advisory workflows.
Responsibilities
- Regulatory Compliance for ECM/IPO Transactions
- Ensure regulatory adherence for IPOs, QIPs, Rights Issues, Buybacks, Open Offers, Delistings, and Pre-IPO placements.
- Prepare and review regulatory filings under SEBI (ICDR), SEBI (LODR), SEBI (PIT), SEBI Research Analyst Regulations, and other capital markets requirements.
- Coordinate with legal counsel, merchant bankers, registrars, and depositories on compliance deliverables and documentation.
- Transaction Documentation & Filing
- Assist in preparation and filing of all regulatory forms, responses, and disclosures related to ECM mandates.
- Draft, review, and validate compliance documentation including offer documents, DRHP/IPO filings, application forms, and related schedules.
- Support responses to SEBI queries, examination notices, and regulatory inspections.
- Compliance Framework & Monitoring
- Maintain and update internal controls, compliance trackers, and risk matrices specific to ECM/IB transactions.
- Monitor transaction timelines and compliance deadlines across all mandates.
- Conduct periodic reviews of compliance adherence and internal process efficiencies.
- Cross-Functional Coordination
- Collaborate with Investment Banking, Legal, Finance, and Operations teams to ensure seamless execution of mandates.
- Provide compliance guidance during due diligence, negotiations, stakeholder interactions, and deal closures.
- Assist in establishing and refining policies for transaction risk, disclosures, and regulatory reporting.
- Audit, Reporting & Governance
- Assist in internal and external audits related to capital markets compliance and documentation.
- Prepare compliance reports, audit summaries, and governance documentation for senior management and regulators.
- Maintain audit-ready records of all transaction compliance activities and filings.
- Regulatory Research & Updates
- Track regulatory developments across SEBI, MCA, RBI, and capital markets laws impacting investment banking and ECM functions.
- Disseminate regulatory updates to the ECM team and assist in implementing process changes where necessary.
Skills
- In-depth knowledge of SEBI (ICDR), SEBI (LODR), SEBI (PIT), Companies Act, FEMA, and capital markets laws.
- Strong understanding of ECM, IPO processes, QIPs, Buybacks, Delistings, Open Offers, and related filing requirements.
- Excellent drafting, documentation, and analytical skills.
- Strong coordination and stakeholder management skills (internal teams, legal counsels, regulators).
- High attention to detail, deadline discipline, and ability to manage multiple compliance tasks.
- Proficiency in MS Office (Excel, Word, PowerPoint) and compliance tracking tools.
Qualifications & Requirements
Education: Qualified Company Secretary or Graduate / Postgraduate in Law (LLB), Commerce, Finance, or equivalent relevant qualification.Experience: 4–6+ years of experience in compliance within investment banking, ECM, capital markets, legal/regulatory teams, or SEBI-regulated intermediaries.Prior experience in ECM transaction compliance, IPO execution, SEBI regulatory filings, and corporate secretarial compliance is strongly preferred.Knowledge of capital markets workflows including due diligence, risk management, and regulatory reporting.
Why Join Dolat Capital
Exposure to a wide range of high-impact ECM and capital markets transactions.Opportunity to work closely with senior leadership, legal advisors, and regulatory bodies.A collaborative, intellectually enriching environment with strong emphasis on compliance excellencePlatform for career growth within institutional research, regulatory governance, and capital markets functions.
Click on Apply to know more.