Key Responsibilities: - Ensure all activities comply with the IFSCA regulatory framework, including guidelines for distributors of capital markets products. - Oversee AML/CFT compliance, KYC processes, and adherence to applicable SEBI, FEMA, and IFSCA regulations. - Manage the company's compliance policies, ensure timely regulatory filings, and address queries from regulators. - Oversee day-to-day operations under the Capital Markets Distributor License, ensuring seamless client service. - Review and resolve investor queries and complaints promptly, ensuring superior client satisfaction. - Maintain records and processes for compliance audits and reviews. - Develop and implement robust systems for tracking and mitigating risks related to distributor activities. - Monitor regulatory and financial crime risks and enforce internal controls. - Identify opportunities to expand the company's distribution network and improve service offerings. - Actively contribute to strategic discussions to grow the company's footprint in capital markets distribution. - Represent the organization at seminars, industry forums, and community meetings. - Collaborate with internal teams, including compliance, legal, and operations, to achieve business objectives. Qualifications: - Education: - A professional qualification or a post-graduate degree/diploma (minimum two years) in finance, law, accountancy, business management, commerce, economics, capital markets, banking, insurance, or actuarial science. - Certifications such as a CFA Charter or equivalent recognized by IFSCA or an accredited regulator in India or abroad are preferred. - Experience: - Minimum of 5 years of relevant experience in securities markets, financial products, or financial services, including roles such as portfolio manager, broker dealer, investment adviser, research analyst, distributor, or fund management. - Proven leadership and operational expertise in regulatory compliance and capital market operations.

Bangalore

Principal Officer - BFS 

Job Description for Principal Officer - BFS  in Mentorpal.ai Tech Hiring in  Bangalore for (5-7) years of experience. Apply Now!