
Investor Compliance Specialist
1 week ago
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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