Principal Officer

2 weeks ago

Bengaluru, Karnataka, India 4S Advisory Full time ₹ 15,00,000 - ₹ 28,00,000 per year

Why Join Us

We are seeking a Principal Officer for our advisory business unit. We are building the best-in-class solution for investing in Mutual Funds. We are committed to innovation and excellence in the wealth management space.

Location: HSR Layout, Bangalore

Key Responsibilities

  • Oversee research activities, including the preparation, review, and publish of research reports and recommendations.

  • Develop, implement, and periodically review internal policies and procedures to ensure robust research processes and compliance.

  • Identify and manage conflicts of interest, ensuring transparent and fair research practices.

  • Coordinate with internal and external auditors for compliance checks and promptly address any observations.

  • Act as the primary point of contact with SEBI and other regulatory bodies for all research analyst-related matters.

  • Ensure accurate and timely maintenance of records as required under SEBI regulations.

  • Stay updated on regulatory developments and industry best practices, implementing changes as necessary.

  • Assist in developing automated solutions for dissemination of recommendations to users.

  • Coordinate, liaise & support with external counsels, consultants, regulatory authorities for

SEBI, MCA & RBI compliances.

Requirements

  • A professional qualification or post-graduate degree or post graduate diploma in finance, accountancy, business management, commerce, economics, capital market, financial services or markets.

  • Minimum 5 years of relevant experience in research analysis, investment advisory, or related financial services.

  • NISM-Series-XV: Research Analyst Certification (mandatory can take the certification after joining).

  • Excellent communication and teamwork abilities.

  • Strong analytical skills with a proactive risk management approach.

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