Principal Officer - RIA - SEBI Registered

Key Responsibilities:

Regulatory Compliance & Governance:

- Act as Principal Officer under SEBI (Investment Advisers) Regulations, 2013.

- Ensure full compliance with SEBI regulations, including periodic filings, disclosures, and inspections.

- Oversee client KYC, risk profiling, and documentation as per SEBI guidelines.

- Liaise with SEBI and other regulators for reporting and audits.

Investment Advisory & Client Management:

- Develop client-specific financial plans, portfolio strategies, and asset allocations.

- Deliver unbiased, research-backed investment recommendations.

- Conduct regular portfolio reviews and client meetings to track financial goals.

Team Management & Operations:

- Lead and mentor advisory, client servicing, and research teams.

- Implement SOPs for onboarding, suitability assessment, and advisory delivery.

- Ensure timely execution of advisory mandates and reporting to clients.

Risk Management & Audit:

- Supervise internal compliance checks and audits.

- Maintain records of client agreements, risk assessment, and recommendations.

- Prepare MIS reports and compliance dashboards for management.

Key Skills & Competencies:

- Strong knowledge of SEBI RIA regulations and fiduciary responsibilities.

- Expertise in financial planning, wealth management, and investment advisory.

- Strong client engagement, leadership, and communication skills.

- Proficiency in financial planning tools, CRMs, and portfolio tracking software.