Anand Rathi - Compliance Officer - Investment Banking/Merchant Banking

Position Summary:
- This position will play a pivotal role in ensuring the company's legal soundness, governance excellence and full compliance with SEBI and other regulatory bodies.
- The Compliance Officer will be responsible for overseeing, implementing, and monitoring all compliance-related functions for a SEBI-registered Merchant Banker engaged in Equity Capital Markets (ECM), Private Equity (PE) syndication, M&A advisory, and other corporate advisory services. The role requires ensuring strict adherence to SEBI, RBI, Companies Act and other applicable regulations, internal policies, and industry best practices.
- This position involves close coordination with internal teams, regulators, clients, auditors, and external agencies to ensure full regulatory compliance and smooth functioning of merchant banking operations.
Qualifications & Skills:
- Graduate/Postgraduate in Law, Commerce, or related field; LLB/CS preferred.
- Strong knowledge of SEBI regulations and ECM/PE/M&A processes.
- Proven experience in transactional documentation, regulatory audits and policy implementation.
- Excellent drafting, communication and negotiation skills.
- High ethical standards, attention to detail and ability to work in a high-paced, regulated environment.
- Strong stakeholder management - ability to liaise with internal teams, regulators and external counsels effectively.
- Prior experience handling SEBI inspections, IPO documentation and regulatory filings preferred.
Key Responsibilities:
1. Regulatory Compliance (Investment & Merchant Banking)

- Ensure compliance with SEBI Merchant Banking Regulations, Companies Act ICDR, LODR, PIT, Takeover Code, and all applicable circulars and regulations for Investment Banking and Merchant Banking activities.
- Oversee compliance checks for IPO, QIP, Rights Issue, Buyback, Open Offer, PE and M&A transactions.
- Manage regulatory filings (including submissions to SEBI and other regulators), reports, disclosures, and responses to SEBI/Stock Exchange queries.
- Handle SEBI inspections, SEBI Risk Supervision exercises, registration renewals and regulatory audits.
- Implement internal compliance policies, SOPs, KYC/AML processes, and maintain statutory records.
- Maintain and update SDD (Structured Digital Database), Grey Lists and Restricted Lists; oversee insider trading compliance and trade approvals.
- Prepare and implement Advisory, Merchant Banking, and Underwriting Policies, address investor grievance redressal for MB transactions.
- Provide regulatory advice to business teams and clients on MB regulations, deals and compliance requirements.
- Conducting training for the employees to create awareness on compliance requirements.
2. Legal & Transactional Support
- Draft, review and negotiate transactional documents such as:
- Engagement Letters, NDAs, Issue/Offer/Placement Agreements, Escrow Agreements, Underwriting and Syndicate Agreements, Letter of Indemnities, Offer Documents, Registrar Agreements and Service Provider Contracts.
- Support IPOs, Rights Issues, Buybacks, Delisting Offers and other capital market transactions.
- Support transaction teams with compliance requirements and review of documentation and transaction related agreements.
- Maintain a repository of SEBI orders, adjudication rulings, court judgments and informal guidance relevant to Merchant Banking.
- Draft and review demand notices for fee recovery and other operational documents.
- Internal inspection of ECM transactions to ensure complete preparedness before SEBI inspections.
- Coordinate with regulators, legal advisors, auditors, and internal stakeholders on compliance matters.
3. Compliance Monitoring & Risk Management
- Monitor internal policies, procedures and business processes to ensure adherence to internal compliance frameworks.
- Track regulatory circulars, notifications and guidelines; circulate updates to concerned teams.
- Prepare AML (Anti-Money Laundering) reports and maintain compliance trackers.
- Manage internal compliance dashboards and ensure prompt closure of audit observations.
Work Environment:
- Be part of a reputed and fast-growing Investment Banking platform.
- Work on marquee IPOs, M&A, and Capital Market deals.
- Collaborate with top professionals in finance and law.
- Drive impact through governance, compliance, and ethical leadership.