Principal Officer

• Act as the Principal Officer responsible for oversight of investment advisory and regulatory compliance functions.
• Ensure compliance with applicable SEBI Investment Advisers Regulations, circulars, guidelines and regulatory requirements.
• Establish, implement and periodically review the firm's compliance policies, procedures and controls.
• Monitor investment advisory activities and ensure that advisory practices remain compliant with applicable regulatory requirements

Candidates must have:

• NISM-Series-X-A: Investment Adviser (Level 1) Certification
• NISM-Series-X-B: Investment Adviser (Level 2) Certification
• Strong working knowledge of SEBI regulations applicable to Investment Advisers
• Strong practical understanding of investment advisory compliance and regulatory requirements
• Demonstrated experience in handling investor/client complaints and grievance resolution