Website:
intellectualcapital.co.in
Job details:
Key Responsibilities:
- Handle Investor Grievance Redressal on SEBI SCORES and Exchange platforms, ensuring timely closure.
- Prepare and file all monthly, quarterly, and yearly Merchant Banking returns with SEBI and Exchanges.
- Ensure full PIT Compliance including SDD maintenance, trading declarations, UPSI controls & reporting.
- Monitor adherence to SEBI Merchant Banker Regulations, Due Diligence Certificate (DDC) requirements, and Code of Conduct.
- Maintain compliance registers, policy documents, internal trackers, and audit-ready documentation.
- Support SEBI / Stock Exchange inspections, prepare responses, and implement corrective actions.
- Ensure KYC/AML compliance and proper onboarding records for clients in IPO assignments.
- Draft, update, and implement internal compliance policies, PIT policy, SOPs, code of conduct, and merchant banking procedures.
- Track SEBI circulars & regulatory updates and implement the required changes across the organization.
- Conduct end-to-end financial, legal, and secretarial due diligence for SME-IPOs.
- Ensure compliance with SEBI Regulations, Companies Act, ICDR Regulations, and other laws.
- Review DRHP, statutory records, checklists, and corporate documents.
- Coordinate timely filing of IPO documents with Exchanges, SEBI, and other regulators.
- Identify compliance and governance gaps and recommend corrective actions.
- Work closely with promoters, CFOs, legal advisors, auditors, and due diligence teams.
- Manage IPO timelines, regulatory queries, and documentation workflows.
- Lead internal compliance reviews, monitoring, and regulatory reporting.
Qualification Required: -
- Qualified Company Secretary (CS) /Any graduate
- Minimum 3 to 5 years of experience in compliance / merchant banking / IPO due diligence along with relevant NISM certification
Click on Apply to know more.
