Principal Officer - BFS

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.