Axis Capital Ltd · mumbai, IN
OtherBanking/Financecomplianceinvestment bankinglegalvendor agreementstrainingregulations
The role involves vetting Engagement Letters and NDAs for onboarding clients in the Investment Banking sector, as well as vendor agreements. Responsibilities include maintaining a restricted list, ensuring compliance between Investment Banking and Research, and training teams on compliance matters related to IPOs, FPOs, and QIPs. Additionally, the role requires preparing manuals and vetting research reports for regulatory compliance.