Socradamus Capital Private Limited
Website:
socradamus.in
Job details:
Job Overview:
We are seeking a Compliance Officer with 3-4 years of experience to join our Merchant Banking team. The Compliance Officer will be responsible for ensuring that all operations and activities of the firm comply with applicable regulations set by authorities like SEBI, and other regulators. This role requires a deep understanding of the regulatory environment, especially in capital markets and merchant banking, and the ability to manage compliance risks effectively.
Key Responsibilities:
- Regulatory Compliance:
- Ensure adherence to regulatory requirements for merchant banking activities, including SEBI regulations, the Companies Act, and other relevant laws.
- Keep abreast of regulatory changes and ensure that the firm’s policies and practices are updated to comply with these changes.
- Support senior management in ensuring compliance with ongoing and new regulatory obligations in the merchant banking domain.
- Monitoring and Reporting:
- Conduct regular compliance reviews and audits to ensure all activities, including capital raising, IPOs, M&As, and other advisory services, are in line with regulatory standards.
- Prepare and submit timely reports to SEBI, and other authorities, ensuring the firm’s regulatory filings are complete and accurate.
- Monitor the implementation of compliance procedures and provide recommendations for improvements.
- Perform due diligence checks to ensure clients meet all regulatory and compliance criteria.
- Review and ensure all required documentation is collected and validated for regulatory compliance.
Qualifications:
- Education:
- Company Secretary (CS).
- Experience:
- 2-3 years of experience in a compliance role in a listed company in merchant banking company.
- Familiarity with the regulations governing merchant banking, including SEBI Merchant Banking Regulations and the Companies Act.
- Skills:
- Strong understanding of capital market regulations, SEBI, and RBI guidelines applicable to merchant banking.
- Knowledge of KYC/AML procedures and regulatory compliance for financial institutions.
- Good analytical skills with attention to detail and the ability to assess and mitigate compliance risks.
- Proficiency in Microsoft Office, Excel, and compliance software tools.
- Good written and verbal communication skills, with the ability to create clear, concise compliance reports and communicate complex regulatory matters.
- Personal Attributes:
- Strong ethical standards and a commitment to maintaining confidentiality.
- Detail-oriented and proactive in identifying potential risks.
- Ability to work under pressure and meet regulatory deadlines.
- Strong problem-solving skills and the ability to work independently and as part of a team.
Working Conditions:
- Full-time position with occasional extended hours during regulatory filing periods or audits.
- A fast-paced work environment that offers the opportunity to work with senior management and various departments on high-impact projects.
Why Join Us:
This is an exciting opportunity for a Compliance Officer to join a dynamic and growing merchant banking team. The role offers the chance to enhance your expertise in the regulatory space, work on high-profile transactions, and contribute to the firm’s success in a rapidly changing regulatory landscape.
If you meet the above criteria and are looking for a challenging and rewarding role in a fast-paced environment, we invite you to apply on hr@socradamus.in
Click on Apply to know more.