compliance (merchant banking)

Role & responsibilities

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.