Investor Compliance Specialist

1 week ago

Mumbai, Maharashtra, India beBeeCompliance Full time ₹ 1,71,25,000 - ₹ 2,21,35,000
Investor Compliance Officer Role

We are seeking a detail-oriented and proactive Investor Compliance Officer to join our team. The ideal candidate will ensure the organization complies with all investor-related regulatory requirements set by SEBI, RBI, AMFI, and other relevant authorities.

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.

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