Principal Officer - Registered Investment Advisor

Principal Officer of a Corporate Registered Investment Advisor (under SEBI RIA guidelines).

Qualifications:

1. Professional degree / post-graduate in finance (CA is also fine)

2. Minimum 5 years experience in investment advisory

3. Has passed RIA - NISM Level 1 and Level 2 Exams and has these certifications currently active

Job Description:

1. Support licensing process to obtain new RIA license from SEBI - Candidate will be expected to front the application process and respond to all queries from the regulator

2. Provide investment advise to clients in line with regulations :

- Perform KYC

- Understand client needs and preferences,

- Develop investment plans and

- Periodically review portfolio performance

3. Responsible for all compliance matters and communications with SEBI:

- On-going periodical submission of returns to SEBI

- Responding to queries from the regulator

- Client compliant resolution

4. Recruit, train and manage team of investment advisors:

- Develop in-house training modules

- Ensure quality of investment advice through periodical training

- Ensure up-to-date certifications of investment advisors