Compliance Officer-Merchant Banking

About the Role

Socradamus Capital is seeking a full-time, on-site Compliance Officer based in Mumbai. This role is responsible for designing, implementing, and monitoring compliance policies and procedures aligned with applicable financial regulations and internal standards. Team members collaborate in a dynamic, transaction-focused environment with exposure to complex financial products and regulatory frameworks.

Key Responsibilities

• Reviewing transactions and advisory activities for regulatory adherence.
• Conducting regular compliance audits.
• Maintaining updated documentation on relevant laws and guidelines.
• Providing guidance to business teams on regulatory requirements.
• Preparing compliance reports for leadership.
• Coordinating with external advisors or regulators as needed.
• Ongoing risk assessment.
• Training staff on compliance practices.
• Recommending process improvements to strengthen the firm’s control environment.

Requirements & Tech Stack

• Compliance Management
• Regulatory Compliance
• Analytical Skills for risk assessment, monitoring, and problem-solving.
• Communication skills (clear and professional) for working with internal teams and external stakeholders.
• Sound understanding of Finance, preferably in capital markets, corporate finance, or investment products.
• Relevant academic background.