Overview
Compliance Officer Jobs in Mumbai Metropolitan Region at Equirus
Title: Compliance Officer
Company: Equirus
Location: Mumbai Metropolitan Region
We are looking out for a diligent, law-abiding, ethical, and meticulous Compliance Officer to join our team.
Candidate shall be responsible for:
Ensuring end to end compliance with provisions of the Companies Act 2013 and all acts / regulations pertaining to capital market intermediaries.
Managing the Audit and other requirements of the license / membership pertaining to the company on an end to end basis across multiple products.
Ensuring compliance under SEBI (Merchant Banking) Regulations, SEBI (Prohibition of Insider Trading) Regulations and all other applicable law to Merchant Banker.
Any other compliance matters as assigned from time to time.
Identify and implement compliance – new circulars / regulatory requirements / discuss and provide feedback & impact analysis or respond to discussion papers / proposed guidelines / changes as expected to be coming on the fore.
Candidate should be able to communicate well at all levels and directly engage with Board of Directors and Managing Director and with all regulators on all compliance / audit related aspects.
Vetting, executing commercial / legal agreements / vendor agreement contracts / MOU/ notices Non – disclosure Agreements / Engagement Letters / Referral agreements etc. (as needed to support the legal team on specific transactions)
Requirement:
Qualification: LLB
Experience: 8 to 10 years of experience in the compliance domain / department independently leading the team for at least 5 years. Experience in the Merchant banking compliance domain will be an advantage.
