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.

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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.

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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.

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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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