Talent.com
This job offer is not available in your country.
Investor Relations Compliance Role-8-15-Mumbai (Apply in 3 Minutes)

Investor Relations Compliance Role-8-15-Mumbai (Apply in 3 Minutes)

Mangalam Placement Pvt Ltd.Mumbai, Maharashtra, India
11 hours ago
Job description

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

Create a job alert for this search

Apply In Compliance • Mumbai, Maharashtra, India

Related jobs
  • Promoted
Investor Relations Associate

Investor Relations Associate

Adfactors PRMumbai, Maharashtra, India
We’re Hiring : Investor Relations Associate | Adfactors PR, Mumbai 🌟.Here’s your chance to be part of.India’s leading PR consultancy. At Adfactors, you’ll be part of a.You’ll grow in a collaborative...Show moreLast updated: 13 days ago
  • Promoted
Compliance Professional - FinTech - CA / CS / LLB

Compliance Professional - FinTech - CA / CS / LLB

Wave HR and Advisory Pvt LtdMumbai, India
Compliance Professional (with progression to Chief Compliance Officer) Mumbai Job Requirement : - CA / CS / LLB Show moreLast updated: 30+ days ago
  • Promoted
FatakPay Digital - Compliance Manager

FatakPay Digital - Compliance Manager

FatakPay Digital Pvt. Ltd.Mumbai, India
Audit and Compliance Manager NBFC / Fintech Industry Position : Audit and Compliance Manager.Location : Andheri Mumbai.Job Overview : < / b&...Show moreLast updated: 30+ days ago
  • Promoted
ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

ValueQuest Investment Advisors - Senior Compliance Officer - Alternative Investment Fund

ValueQuestMumbai, India
Senior Compliance Officer - Alternative Investment Fund (10-12 yrs) About the job : - We are seeking a dynamic and experienced Se...Show moreLast updated: 10 days ago
  • Promoted
2070Health - Compliance & Empanelment Lead - LLB

2070Health - Compliance & Empanelment Lead - LLB

2070HealthMumbai, India
Job Title : Compliance & Empanelment Lead Location : Delhi / Mumbai (with potential travel to other expansion cities) Show moreLast updated: 30+ days ago
  • Promoted
CoinDCX - Director - Compliance

CoinDCX - Director - Compliance

CoinDCXMumbai, India
The CoinDCX Journey : Building Tomorrow, Today : At CoinDCX, we believe 'CHANGE STARTS TOGETHER'.You are the driving force that will help us make Web3 accessible to all...Show moreLast updated: 30+ days ago
  • Promoted
Nippon Life India Asset Management - Risk Analyst - Alternative Investment Fund Business

Nippon Life India Asset Management - Risk Analyst - Alternative Investment Fund Business

Nippon Life India Asset Management LimitedMumbai, India
Department : Risk Level 3 -Manager Purpose of the Job : To Monitor the Risk of AIF Business Key r...Show moreLast updated: 27 days ago
Compliance (Wealth Management)

Compliance (Wealth Management)

Weekday AIMumbai, MH, IN
Quick Apply
This role is for one of Weekday’s clients.We are looking for a highly motivated and detail-oriented.The role involves overseeing compliance aspects across. Investment Advisory (RIA), Distribution, a...Show moreLast updated: 14 days ago
  • Promoted
Foodlink Services - Investor Relations Manager

Foodlink Services - Investor Relations Manager

Foodlink Services India Pvt. Ltd.Mumbai, India
Job Title : Investor Relations Manager Experience Required : 5-9 Years About the Job We ...Show moreLast updated: 30+ days ago
  • Promoted
Investor Relations Compliance Role-8-15-Mumbai

Investor Relations Compliance Role-8-15-Mumbai

Mangalam Placement Pvt Ltd.Mumbai, Maharashtra, India
Role : Investor Relations Compliance Role.We are seeking a detail-oriented and proactive Investor Compliance Officer to join our Compliance team. The ideal candidate will ensure the organization com...Show moreLast updated: 21 days ago
  • Promoted
  • New!
Compliance Owner

Compliance Owner

OneBancThane, IN
OneBanc is a neo-bank, building the economic infrastructure for the workforce of India.The idea of OneBanc started when a young girl asked Vibhore, a serial entrepreneur, why the money in her piggy...Show moreLast updated: 2 hours ago
  • Promoted
Manager - Compliances / Operations / Accounts - AIF / Investment

Manager - Compliances / Operations / Accounts - AIF / Investment

Bowhead India FundMumbai, India
Compliances, Operations and Accounts of AIF 3 and the Investment Manager; India based private limited firm.Compliances and Operations of Offshore Fund from time to time.Job description : T...Show moreLast updated: 27 days ago
  • Promoted
Manager - Investor Relations & Corporate Development

Manager - Investor Relations & Corporate Development

PazagoKalyan-Dombivli, IN
Pazago transforms the export experience, making each export order faster, more efficient, and stress-free.With streamlined processes and complete visibility, exporters save time, cut costs, and gai...Show moreLast updated: 1 day ago
  • Promoted
Investor Relations Specialist (Voice process)

Investor Relations Specialist (Voice process)

TalentojThane, IN
Wint Wealth is a fast-growing fintech startup making high-yield debt products accessible to retail investors.We empower investors with safe, transparent, and regulated opportunities beyond traditio...Show moreLast updated: 6 days ago
  • Promoted
Compliance Associate

Compliance Associate

Haachi Business Solutions Private LimitedMumbai, Maharashtra, India
The Opportunity : Partner with a Global Market Maker.We are seeking to place a high-impact Compliance Associate with our client—a. Headquartered in the US, our client has a significant global presenc...Show moreLast updated: 1 day ago
  • Promoted
Investor Relations Associate / Analyst

Investor Relations Associate / Analyst

Valorem AdvisorsMumbai, Maharashtra, India
Investor Relations is the fastest growing financial markets field in India today and Valorem Advisors is a leader and one of the most differentiated players in Investor Relations management in Indi...Show moreLast updated: 30+ days ago
  • Promoted
Lead Regional Compliance Specialist

Lead Regional Compliance Specialist

Securitas GroupNavi Mumbai, Maharashtra, India
Job title : Lead Regional Compliance Specialist - APAC Location : India – open to Chennai / Hyderabad / Pune About our team We are a dynamic, dedicated team that provides management and support for a...Show moreLast updated: 30+ days ago
  • Promoted
FOREX INVESTOR

FOREX INVESTOR

FOREX INVESTMENTThane, IN
We suggest you enter details here.This is a contract remote role for a FOREX Investor at FOREX INVESTMENT.The Investor will be responsible for tasks related to Escrow, Communication, Customer Servi...Show moreLast updated: 30+ days ago
  • Promoted
Artha Group - Head - Compliance - CS

Artha Group - Head - Compliance - CS

Artha GroupMumbai, India
About Artha Group : Artha Group is a performance-led investment house managing over 1,250 crores (USD 150M+) across five fund platforms including A...Show moreLast updated: 30+ days ago
  • Promoted
  • New!
▷ Apply Now! Lead - Investor Relations

▷ Apply Now! Lead - Investor Relations

Poonawalla FincorpMumbai, Maharashtra, India
Position Summary We are seeking a seasoned and strategically oriented Investor Relations Specialist to lead the company’s investor engagement and financial communications.This role is pivotal in e...Show moreLast updated: 3 hours ago