About the role
- Vetting all the Engagement Letters and NDAs for onboarding Clients for the Investment Banking business
- Vetting all vendor related agreements
- Responsible for maintaining firm wide restricted list and conflicts
- Responsible for maintaining a Chinese Wall between Investment Banking and Research
- Training all the IB, Sales and Research teams on Compliance matters related to IPO/ FPO and QIP
- Preparing manuals outlining these requirements
- Vetting Research Reports and ensuring that they are in line with the regulations