1. Regulatory & Compliance: - Monitor end-to-end regulatory compliance with IFSCA, SEBI, RBI, and other applicable frameworks. - Oversee accurate and timely filing of all regulatory reports, audits, and disclosures. - Ensure all employees of the CMI adhere to relevant regulatory obligations and internal compliance standards.
2. Client Relationship & Suitability: - Oversee the onboarding process to ensure adherence to Know Your Client (KYC) norms and risk profiling. - Ensure that investment advice and product recommendations align with clients' goals and regulatory standards.
4. Operational Oversight: - Monitor day-to-day functioning of the GIFT City unit including fund flows, client onboarding, and transaction processing. - Identify areas for improvement and implement operational enhancements as needed.
5. Strategic & Operational Leadership: - Participate in business strategy discussions and contribute to the growth and operational efficiency of the advisory division.
6. Documentation & Record Maintenance: - Ensure all client interactions, advisory documentation, and financial planning records are maintained per IFSCA's retention policies.
7. Other Tasks: - Undertake any other responsibilities or tasks assigned by management, as required.
Qualifications:
? A professional qualification or Post-graduate degree in finance, commerce, business management or related discipline from a recognized university/institution.
? Clear understanding of IFSCA rules & regulations and compliance requirements applicable to Investment Advisers.
? Minimum of 3 years of experience in similar roles within the financial services industry, preferably working with GIFT City, AIF/PMS regulations, and offshore structures.
? Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.
? Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.
? Must meet the "fit and proper person" criteria as specified by IFSCA.
Join Our Team:
If you are a qualified Candidate with a passion for regulatory compliance, operational leadership, and client-centric advisory practices, we welcome you to join our fast-growing and future-focused team. As our Principal Officer, you will play a key role in shaping the regulatory integrity and operational success of our GIFT City unit.
Job Type: Full-time
Pay: ₹300,000.00 - ₹550,000.00 per year
Work Location: In person
Beware of fraud agents! do not pay money to get a job
MNCJobsIndia.com will not be responsible for any payment made to a third-party. All Terms of Use are applicable.