Description
The Investment Specialist – Private Placement will be responsible for the distribution and client management of private placement investment instruments including OCD, OCPS, and other structured products offered.
The role requires strong experience in HNI relationship handling, a deep understanding of private placement regulations, and a
compliance-first approach to investor engagement. The position is suited for professionals who can balance fundraising objectives with strict adherence to regulatory, disclosure, and suitability norms.
Key Responsibilities
Responsibilities
Distribute private placement instruments strictly in accordance with applicable laws, private placement norms, and internal compliance frameworks.
Ensure no public solicitation, mass marketing, or advertising in violation of private placement regulations.
Conduct thorough investor eligibility and suitability assessments prior to product discussion or onboarding.
Ensure all mandatory disclosures, risk factors, and product terms are clearly explained and acknowledged by investors.
Maintain complete, audit-ready documentation including KYC, investor declarations, offer communication, and
acknowledgements.
Coordinate with internal compliance, legal, and operations teams to ensure correct execution of allotment and post-
issuance processes.
Client Distribution Responsibilities
Manage and grow relationships with HNI / affluent investors through structured, compliant engagement.
Present OCD, OCPS, and other instruments in a transparent, non-misleading manner, clearly outlining structure, tenure, risks, and obligations.
Handle the end-to-end investor lifecycle including meetings, documentation, closure, and post-investment communication.
Leverage an existing professional HNI network while ensuring all interactions remain compliant with private placement norms.
Act as a trusted point of contact for investors, ensuring clarity, governance, and long-term relationship continuity.
Candidate Profile
3–5 years of experience in a client-facing role within wealth management, private banking, investment advisory, or banking.
Demonstrated experience handling HNI client requirements and high-value investment discussions.
Strong understanding of fixed income instruments, preference shares, and private placement structures.
High level of regulatory awareness, documentation discipline, and process orientation.
Ability to clearly explain complex investment structures without over-promising or misrepresentation.
Strong communication, presentation, and stakeholder management skills.
Ethical mindset with a strong emphasis on investor protection and compliance.
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