Principal Officer

5 days ago


Mahalaxmi Nagar Indore Madhya Pradesh, India Endorfins Capital Full time ₹ 7,20,000 - ₹ 9,60,000 per year
  1. Regulatory & Compliance

Act as the Principal Officer under SEBI (Portfolio Managers) Regulations, 2020.

Ensure all PMS operations comply with SEBI, RBI, and other applicable regulatory guidelines.

Liaise with regulators, auditors, and trustees on portfolio-related matters.

Ensure accurate and timely submission of regulatory reports and disclosures.

Oversee KYC, AML, and risk management procedures.

  1. Investment Management

Formulate and implement investment strategies for client portfolios.

Supervise research and analysis of macroeconomic trends, sectors, and securities.

Approve investment decisions and ensure alignment with client mandates and risk profiles.

Monitor portfolio performance and risk metrics.

  1. Client Relationship Management

Ensure high-quality client servicing and transparent communication regarding performance and strategy.

Oversee preparation of client reports, presentations, and disclosures.

Address client grievances and ensure resolution within regulatory timelines.

  1. Governance & Risk Management

Establish internal controls for portfolio construction, execution, and compliance.

Conduct periodic portfolio reviews and audits.

Identify and mitigate operational, investment, and compliance risks.

Eligibility & Experience:

The candidate must have requisite professional qualification in finance, law, accountancy or business management from a university or an institution recognized by the Central Government or any State Government or a Post Graduate Program in the Securities Market (Portfolio Management) from NISM of a duration not less than one year or a professional qualification by obtaining a CFA charter from the CFA institute;

Minimum 5 years of experience in securities market–related activities (portfolio manager, stock broker, investment advisor, research analyst, fund manager). Out of this, at least 2 years must be in portfolio management / fund management / advisory.

Certification:

Relevant NISM XXI B certificate as specified by SEBI.

Job Type: Full-time

Pay: ₹60, ₹80,000.00 per month

Benefits:

  • Health insurance
  • Provident Fund

Work Location: In person


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