The Role
Oversee regulatory compliance for loan-against-securities operations, including documentation, lien and pledge processes, exposure monitoring, margin calls, reporting, policy updates, audits, inspections, and remediation. Coordinate with business, operations, risk, credit, and legal teams; maintain compliance evidence; escalate breaches; and deliver employee training on LAS compliance requirements.
Summary Generated by Built In
1. Regulatory Compliance & Governance
Ensure compliance with RBI Master Directions for NBFCs, LAS-related regulatory norms, SEBI / depository guidelines and Companies Act compliances (CS degree holder preferred).
Review and validate LAS documentation, lien marking, pledge creation, and release processes for adherence to regulatory standards.
Keep abreast of new circulars, notifications, and amendments impacting LAS operations and update internal teams accordingly.
Conduct periodic compliance reviews to ensure operational alignment with approved policies and procedures.
2. Policy Implementation & Review
Assist in drafting, reviewing, and updating LAS-related policies, Standard Operating Procedures (SOPs), and internal control frameworks.
Work with risk and credit teams to ensure lending practices adhere to defined risk limits, exposure norms, and collateral management standards.
Support in aligning LAS processes with broader NBFC compliance and corporate governance frameworks
3. Monitoring & Reporting
Monitor client-level exposures, margin call practices, and portfolio monitoring for compliance with internal and regulatory limits.
Prepare and submit regulatory and internal compliance reports—including audit reports, RBI returns, and periodic MIS.
Track and report deviations, potential breaches, or non-compliance incidents with timely escalation and corrective actions.
4. Audit & Inspection Coordination
Facilitate internal, statutory, and regulatory audits, ensuring timely submission of data and resolution of audit observations.
Conduct internal compliance checks across business, operations, and credit functions related to LAS.
Maintain comprehensive documentation and evidence trails for all LAS compliance activities.
5. Stakeholder Management
Collaborate with Business, Operations, Risk, Credit, and Legal teams to ensure compliance is embedded into day-to-day processes.
Act as the point of contact for regulatory inspections or information requests specific to LAS.
Conduct compliance awareness and training sessions for employees handling LAS transactions.
Skills Required
- Knowledge of RBI Master Directions for NBFCs and LAS-related regulatory requirements
- Knowledge of SEBI and depository guidelines
- Knowledge of Companies Act compliance requirements
- Ability to review LAS documentation, lien marking, pledge creation, and release processes
- Ability to monitor exposures, margin calls, portfolio compliance, and regulatory limits
- Ability to prepare regulatory returns, audit reports, compliance reports, and MIS
- Ability to coordinate internal, statutory, and regulatory audits and resolve observations
- Company Secretary degree
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The Company
What We Do
Equirus is a trusted investment banking and financial advisory firm providing services in initial public offerings, mergers and acquisitions, and equity capital markets. Founded in 2007 and headquartered in Mumbai, India, Equirus Capital operates as an independent, full-service investment banking firm. Its mission emphasizes building trust and delivering performance through strategic transaction and capital-raising advice for clients across its advisory activities.
