Compliance Manager

Role Overview: As a Senior Manager/AVP Compliance at a leading Financial Institution in Mumbai, you will be responsible for ensuring compliance with SEBI (ICDR) Regulations and the Process of Preferential issue. Your role will involve verifying adherence to SEBI regulations, Exchange Checklists, and Guidelines, reviewing valuation reports, meeting deadlines outlined in the Exchange Guidance Note and SEBI Regulations, and updating the Exchange database post-share listing approvals. You will also be expected to respond to SEBI queries, submit data in a timely manner, generate internal management reports, and lead development projects to streamline processes. Additionally, you will oversee compliance activities across various verticals within the organization. Key Responsibilities: - Verify adherence to SEBI regulations, Exchange Checklists, and Guidelines - Review valuation reports and meet deadlines outlined in the Exchange Guidance Note and SEBI Regulations - Update the Exchange database post-share listing approvals - Respond promptly to SEBI queries and submit data in a timely manner - Generate internal management reports - Lead development projects to streamline processes - Oversee compliance activities across various verticals Qualifications Required: - At least 7 years of experience in SEBI (ICDR) Regulations or the Process of Preferential issue - Strong understanding of SEBI regulations - Detail-oriented professional with a passion for compliance Additional Details: This role offers you the opportunity to work closely with SEBI regulations, Schemes, and Stock Exchange Compliances, making a significant impact in the field of merchant banking and capital markets. You will play a crucial role in ensuring that all compliance activities are effectively coordinated and executed, contributing to the success of a dynamic financial institution.,