Investor Relations Compliance Role-8-15-Mumbai
4 weeks ago
Role : Investor Relations Compliance Role
Experience : 8 to 15 Years
Qualification : CA
Location : Mumbai
Job Description :
We are seeking a detail-oriented and proactive Investor Compliance Officer to join our Compliance team. The ideal candidate will ensure the organization complies with all investor-related regulatory requirements set by SEBI, RBI, AMFI, and other relevant authorities. The role involves monitoring investor onboarding, communications, disclosures, and grievance redressal processes to ensure adherence to applicable laws and internal policies.
Key Responsibilities:
Regulatory Compliance:
Ensure compliance with all applicable investor-related regulations including SEBI (LODR, AIF Regulations, MF Regulations), RBI, and Companies Act requirements.
Monitor adherence to KYC, AML, and FATCA/CRS norms during investor onboarding and servicing.
Review and ensure timely filing of regulatory returns and disclosures (e.g., SEBI, RBI, AMFI).
Investor Onboarding & Due Diligence:
Oversee investor onboarding processes to ensure compliance with internal policies and regulatory guidelines.
Conduct due diligence and risk assessments on investors as required under applicable laws.
Reporting & Documentation:
Prepare and review investor communications including offering documents, disclosure statements, and regular updates.
Maintain comprehensive documentation of investor compliance processes and audit trails.
Grievance Redressal:
Manage the investor grievance redressal mechanism in compliance with SEBI and internal policies.
Liaise with internal teams and regulators to address and resolve investor complaints promptly.
Audit & Monitoring:
Support internal and external audits, and manage regulatory inspections pertaining to investor compliance.
Identify compliance gaps and proactively implement corrective actions.
Stakeholder Coordination:
Work closely with legal, operations, finance, and investor relations teams to ensure holistic compliance across investor lifecycle.
Serve as a point of contact for compliance-related investor queries and updates.
Required Qualifications and Skills:
Bachelor\'s/Master\'s degree in Law, Finance, Commerce, or related field; Compliance certifications (e.g., NISM, ICAI, ICSI)
8–15 years of experience in compliance, legal, or regulatory functions within financial services (AMCs, AIFs, PMS, NBFCs, etc.)
Strong knowledge of SEBI, RBI, and other Indian financial regulatory frameworks.
Experience with KYC/AML processes and investor onboarding.
Familiarity with regulatory reporting platforms (SEBI Intermediary Portal, RBI FIRMS, etc.)
Excellent communication, analytical, and interpersonal skills.
High ethical standards and attention to detail
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