Investment Advisory

Acme Services; Mumbai; On-site; INR 2,400,000 - 3,600,000; Full time

Job summary

Acme Services is seeking a Principal Officer in Mumbai to ensure compliance with SEBI (Investment Advisers) Regulations and related rules for its investment advisory business. You will oversee the advisory framework, disclosures, client onboarding, and risk profiling, ensuring robust policies and controls are in place.

You will work with Product, Technology, UX/UI and Business teams to integrate regulatory requirements into the digital product, monitor regulatory changes, and address any

Qualifications

• Requires professional/ postgraduate qualification in finance or related field.
• Experience aligning investment advisory with SEBI rules and other regulations.
• Ability to review onboarding, risk profiling, and suitability processes.

Responsibilities

• Act as the Principal Officer for the investment advisory business.
• Ensure compliance with SEBI (Investment Advisers) Regulations and other regulatory requirements.
• Oversee the investment advisory framework, policies, processes and controls.
• Review investment advisory processes, client onboarding, risk profiling and suitability requirements.
• Ensure disclosures, agreements, communications and advisory documentation are in place.
• Monitor regulatory changes and assess impact on the SI Pro App.
• Collaborate with Product, Technology, UX/UI and Business teams to embed regulatory requirements in the digital product.
• Review digital product features, customer journeys, workflows and interfaces from compliance perspective.
• Provide compliance inputs during product development, launches and enhancements.
• Understand the product roadmap and ensure regulatory considerations in planning and execution.
• Identify and remediate potential compliance gaps with Product/Tech teams.
• Coordinate with internal and external stakeholders on regulatory, compliance and product matters.

Skills

Regulatory compliance

SEBI regulations

Compliance risk management

Cross-functional collaboration

Education

Postgraduate qualification in Finance/Commerce/Economics/Business Management/Capital Markets/B banking/Insurance

Professional qualification in Finance/Commerce/Economics

Job description

• Act as the Principal Officer for the investment advisory business, as applicable.
• Ensure compliance with applicable SEBI (Investment Advisers) Regulations and other regulatory requirements.
• Oversee the investment advisory framework, policies, processes, and controls.
• Review investment advisory processes, client onboarding, risk profiling, and suitability requirements.
• Ensure appropriate disclosures, agreements, communications, and advisory-related documentation.
• Monitor regulatory changes and assess their impact on the SI Pro App.
• Work closely with Product, Technology, UX/UI, and Business teams to incorporate regulatory and compliance requirements into the digital product.
• Review digital product features, customer journeys, workflows, and communication interfaces from an investment-advisory and compliance perspective.
• Provide compliance inputs during product development, feature launches, and product enhancements.
• Understand the product roadmap and ensure that regulatory requirements are considered during product planning and execution.
• Identify potential compliance gaps in the digital product and work with the Product and Technology teams to implement corrective measures.
• Coordinate with internal and external stakeholders on regulatory, compliance, and product-related matters.

Requirements

• A professional qualification or postgraduate qualification in Finance, Commerce, Economics, Business Management, Capital Markets, Banking, Insurance or a related field would be preferred.
• Employment Type: On roll/full time