Compliance Officer -- ECM/ IPO / M&A
Dolat Capital is hiring a Compliance Officer to support their Investment Banking ECM team in Mumbai. The role involves managing regulatory compliance, transaction documentation, and filing requirements for IPOs, QIPs, and M&A mandates. Candidates must have strong expertise in SEBI regulations, the Companies Act, and FEMA, alongside experience in institutional equities or capital markets. The incumbent will act as a key liaison between the internal banking team, legal counsel, and regulatory bodies.
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Experience
4-6 years
Function
Finance
Work mode
Onsite, India
Company
Tier 2
What you will work on
Dolat Capital is hiring a Compliance Officer to support their Investment Banking ECM team in Mumbai. The role involves managing regulatory compliance, transaction documentation, and filing requirements for IPOs, QIPs, and M&A mandates. Candidates must have strong expertise in SEBI regulations, the Companies Act, and FEMA, alongside experience in institutional equities or capital markets. The incumbent will act as a key liaison between the internal banking team, legal counsel, and regulatory bodies.
TAL's take
Solid mid-level role in a stable, established financial firm; clear professional scope within investment banking compliance.
Very clear, structured JD detailing specific regulatory frameworks, transaction types, and functional responsibilities.
Must haves
- 4-6 years of post-qualification experience in compliance
- In-depth knowledge of SEBI (ICDR), SEBI (LODR), and SEBI (PIT)
- Understanding of Companies Act and FEMA
- Experience in ECM/IPO processes, QIPs, and corporate restructuring
- Excellent drafting and documentation skills
Tools and skills
About the company
Established Indian institutional equity and financial services firm, well-regarded but not a global/tier-1 tech-centric brand.