About the Organization
Equirus is a leading full-service financial services firm established in 2007, offering expertise across investment banking, institutional equities, asset management, capital markets, M&A, and wealth management. With a strong track record of executing over 315 transactions and raising significant capital across sectors, Equirus is known for its client-centric approach and robust financial solutions.
Type / Nature of Opportunity
- Legal / Compliance Job Opportunity (Full-time)
Eligibility Criteria
- Professionals with experience in regulatory compliance, particularly in NBFCs
- Knowledge of RBI Master Directions, SEBI regulations, and Companies Act
- CS qualification preferred
- Understanding of LAS (Loan Against Securities) framework and processes
Areas of Work / Key Responsibilities
Regulatory Compliance & Governance
- Ensure compliance with RBI, SEBI, and Companies Act regulations
- Review LAS documentation including lien marking, pledge creation, and release processes
- Track regulatory updates and implement necessary changes
Policy Implementation & Review
- Draft and update policies, SOPs, and internal control frameworks
- Align lending practices with risk management and compliance standards
Monitoring & Reporting
- Monitor exposures, margin calls, and compliance with internal limits
- Prepare compliance reports, audit reports, RBI returns, and MIS
- Identify and report compliance breaches
Audit & Inspection Coordination
- Facilitate internal, statutory, and regulatory audits
- Maintain documentation and ensure timely resolution of audit observations
Stakeholder Management
- Coordinate with business, legal, risk, and operations teams
- Act as a point of contact for regulatory inspections
- Conduct compliance training and awareness sessions
Mode of Work
- On-site
- Location: Mumbai Metropolitan Region
Application Process
- Interested candidates may apply through the LinkedIn job post link provided
Important Notes / Additional Information
- Role focuses on compliance within NBFC operations, especially Loan Against Securities (LAS)
- Requires strong coordination across departments and regulatory bodies
- Ideal for professionals seeking growth in financial regulatory compliance and governance
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