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Junior Compliance Officer

Junior Compliance Officer

NovaaOne Capital Private LimitedAlleppey, Republic Of India, IN
5 days ago
Job description

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.
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    Compliance Officer • Alleppey, Republic Of India, IN