Principal Officer - Research Analyst - Wealth Management

Principal Officer - Research Analyst

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.