Principal Officer Portfolio Management Services

Job Description Job Title: Principal Officer Portfolio Management Services (PMS) Department / Function: Portfolio Management & SEBI-Regulated Investment Advisory Location: NOIDA / Mumbai / Hybrid (Flexible Work Model) Job Summary: We are looking for a highly qualified and experienced Principal Officer to lead our Portfolio Management Services (PMS) division. The ideal candidate will be responsible for managing discretionary and non-discretionary portfolios, ensuring full compliance with SEBI (Portfolio Managers) Regulations, and maintaining the highest standards of client servicing and risk governance. This role requires an in-depth understanding of capital markets, equity research, asset allocation, and regulatory frameworks, combined with strong leadership and decision-making capabilities. Key Responsibilities: 1. Oversee the overall operations and strategic management of the Portfolio Management Services (PMS) division. 2. Act as the Principal Officer under SEBI (Portfolio Managers) Regulations, ensuring full regulatory compliance at all times. 3. Develop and execute investment strategies aligned with client goals, risk appetite, and market opportunities. 4. Supervise fund managers, research analysts, and operations staff to ensure smooth functioning of all PMS activities. 5. Monitor investment performance, asset allocation, and adherence to investment mandates. 6. Ensure accurate and timely reporting of portfolio valuations, NAVs, and client statements. 7. Liaise with SEBI, auditors, custodians, and banks for compliance, inspection, and operational coordination. 8. Ensure periodic submission of SEBI returns, financial statements, and other regulatory disclosures. 9. Design and implement robust risk management and internal control mechanisms to safeguard client interests. 10. Conduct in-depth market research and portfolio analysis to support investment decisions. 11. Maintain and update internal policies and standard operating procedures (SOPs) as per SEBI guidelines. 12. Support business development efforts by contributing to product positioning, client presentations, and investor communications. 13. Ensure ethical sales practices, transparency, and adherence to fiduciary duties. 14. Lead compliance reviews, internal audits, and ensure immediate corrective actions on any deviations. 15. Mentor the PMS team and foster a culture of professionalism, innovation, and continuous learning. Required Skills & Competencies: - Comprehensive knowledge of SEBI (Portfolio Managers) Regulations, 2020 and related compliance frameworks. - Strong understanding of equity markets, mutual funds, debt instruments, and alternative investments. - Excellent analytical, research, and decision-making skills. - Proven ability to manage high-net-worth portfolios and deliver consistent returns. - Exceptional communication, leadership, and client relationship management capabilities. - Proficiency in portfolio analytics tools, Bloomberg, Excel, and financial modelling. - High integrity and ethical standards with a focus on compliance and fiduciary responsibility. Educational Qualification: - Postgraduate degree in Finance, Economics, Commerce, or Business Administration. - Must have cleared NISM-Series-XXI-A (Portfolio Management Services Certification). - Additional credentials like CFA (Chartered Financial Analyst), CA (Chartered Accountant), or MBA (Finance) will be a strong advantage. Experience Range: Minimum 5 10 years of experience in Portfolio Management, Wealth Advisory, or Investment Strategy, with at least 2 years in a leadership or Principal Officer capacity. Preferred Background: - Candidates with prior experience in SEBI-registered PMS, AIF, or Investment Advisory firms will be preferred. - Exposure to SEBI, RBI, or IFSCA compliance frameworks will be advantageous. Why Join Us: At Estabizz Fintech, we believe in empowering professionals to build long-term careers in India's regulatory and investment ecosystem. As a trusted name in financial compliance and advisory, we offer the opportunity to lead an emerging PMS platform driven by ethics, research, and client success. You will work alongside industry experts, shape investment strategies, and contribute to building a transparent and compliant investment management model. Application Instructions: Interested professionals may email their updated profile and NISM certification copy to [HIDDEN TEXT] with the subject line Application for Principal Officer PMS. Focus Keywords: Principal Officer PMS Job, Portfolio Management Services Vacancy, SEBI PMS Compliance, Investment Manager India, PMS Principal Officer Recruitment, Wealth Management SEBI Job, PMS Regulatory Compliance, Portfolio Manager Jobs in Ahmedabad Spotlight - Performance bonus, Mobile bill reimbursements, Retirement benefits, Health & insurance, Health insurance