Junior Compliance Officer

SEBI & Capital Markets Compliance:

• Ensure full compliance with SEBI (Merchant Bankers) Regulations, ICDR, LODR, Takeover Code, and related circulars and guidelines.

• Handle regulatory filings and correspondence with SEBI, Stock Exchanges, and other market intermediaries.

• Ensure compliance in IPOs, open offers, buybacks, delistings, and other capital market transactions.

• Maintain proper records, registers, Structure Digital Database and documentation as required under applicable SEBI regulations.

Companies Act, 2013 Compliance:

• Ensure compliance with all secretarial requirements under the Companies Act, 2013 including Board and General Meetings, ROC filings, and maintenance of statutory registers.

• Prepare and maintain minutes, resolutions, and filings related to company law matters.

• Coordinate with auditors, legal advisors, and regulators as required.

Firm-wide Compliance & Governance:

• Monitor overall compliance of the firm with applicable laws and internal policies.

• Develop and implement internal compliance policies, manuals, and standard operating procedures.

• Conduct periodic compliance audits, risk assessments, and employee training.

• Liaise with internal teams to ensure a culture of compliance and governance.

• Support senior management and the Board on governance and regulatory matters.

Eligibility Criteria:

• Qualified Company Secretary (ICSI) with 3–4 years of post-qualification experience.

• Prior experience in a SEBI-registered intermediary or capital markets firm preferred.

• Strong working knowledge of SEBI regulations and the Companies Act, 2013.

• Excellent drafting, communication, and interpersonal skills.

• High attention to detail, proactive approach, and ability to handle multi-functional responsibilities. Desirable Attributes

• Experience in handling inspections or audits by SEBI or MCA.

• Ability to interpret and implement regulatory updates quickly.

• Strong ethics, confidentiality, and problem-solving mindset.