Overview
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