Investor Relations & Compliance Officer

Responsibilities:

Investor communications:

- Assist in performing KYC, screening and onboarding of investors as per AML norms and internal policy of the entity, including re-kyc

- Handling investor queries, periodic data requests, investor due diligence (incl checklists) and responding promptly for both institutional and HNI investors

- Handling distributor queries, and ensuring timely reporting to distributors as per their requirements

- Ensuring timely completion of change requests from investors, including transfer, transmission, demat details. Ensuring maintenance of investor master database

- Drafting quarterly reports, bulletins, and other communications with various stakeholders such as investors, distributors, regulators, service providers, etc.

- To maintain SOPs and checklist for all investor communication related activity

- Assisting Investor Relations team with data requests for investor meetings or presentations

- Assisting in planning & coordination for investor conference, events relating to investors

Compliance:

- Acting as a compliance officer for the trusteeship business and assist the group compliance officer in compliance and secretarial matters

- Liaising with the regulators from time to time and responding to queries or requirements received from the regulators

- Ensuring SEZ and IFSCA compliance and reporting applicable to the entity

- Ensuring SEZ compliance and reporting applicable to the funds where the entity is a trustee

Accounting and reporting:

- Assisting in demat corporate action and reconciliation

- Assisting in investment transaction closing activities from a compliance perspective

- Preparation of MIS for reporting to investors and management

- Maintain cordial relations with service providers; monitoring of SLAs with them

- Assisting fund accounting team for any data collation / information sharing

Requirements and Qualifications:

- Chartered Accountant or Company Secretary or LLB or MBA with experience of 5 - 6 years post qualification

- Experience in working with customer / client facing activities in stock broker, wealth manager, distributor, or any other securities market or bank or financial services is preferred.

- Excellent communication skills both verbal and written (should be fluent in English speaking)

- Learning / adaptability skills

- Ability to work in a team

Location: GIFT City, Gandhinagar