Principal Officer

Talent Corner Hr Services; Indore District; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Talent Corner Hr Services is seeking an experienced Principal Officer for Portfolio Management Services (PMS) to lead regulatory compliance, investment advisory, and client governance. The role requires deep knowledge of capital markets and SEBI regulations, with a focus on risk management, reporting, and stakeholder liaison.

Ideal candidates should have 5+ years in securities markets, with at least 2 years in PMS or investment advisory, and hold relevant NISM certification.

Qualifications

• Professional qualification in Finance, Law, Accountancy, Business Management, CFA, or NISM-recognized Post Graduate Program in Securities Market (Portfolio Management).
• Minimum 5 years of experience in securities market-related activities such as Portfolio Management, Fund Management, Investment Advisory, Research Analysis, or Stock Broking.
• Minimum 2 years of direct experience in Portfolio Management, Fund Management, or Investment Advisory.
• Valid NISM Series XXI-B Certification as prescribed by SEBI.
• Strong understanding of capital markets, portfolio management, risk management, and regulatory frameworks.

Responsibilities

• Act as the Principal Officer under SEBI (Portfolio Managers) Regulations, 2020 and ensure compliance with SEBI, RBI, AML, KYC and other regulatory requirements.
• Formulate and implement investment strategies aligned with client objectives and risk profiles; supervise market research and analysis.
• Oversee transparent client communications; prepare reports, disclosures, and timely responses to grievances within regulatory timelines.
• Establish internal controls for portfolio construction, execution, and compliance monitoring; conduct periodic risk assessments.

Skills

Regulatory compliance

Investment management

Risk management

Client relationship management

Portfolio analysis

Education

Finance / Law / Accountancy / Business Management / CFA or NISM PG in Securities Market (Portfolio Management)

Job description

Role & responsibilities

Hiring: Principal Officer Portfolio Management Services (PMS)

We are seeking an experienced and highly qualified professional to lead our Portfolio Management Services (PMS) function as the designated Principal Officer. The ideal candidate should possess strong expertise in investment management, portfolio advisory, regulatory compliance, and capital markets.

Key Responsibilities:

Regulatory & Compliance

1.Act as the Principal Officer under SEBI (Portfolio Managers) Regulations, 2020. Ensure compliance with SEBI, RBI, AML, KYC, and other applicable regulatory requirements. Liaise with regulators, auditors, and stakeholders on portfolio-related matters. Ensure timely submission of regulatory reports, disclosures, and compliance filings. Oversee internal compliance, risk management, and governance processes.

Investment Management

• Formulate and implement investment strategies aligned with client objectives and risk profiles. Supervise research and analysis of markets, sectors, and macroeconomic trends. Review and approve investment recommendations and portfolio decisions. Monitor portfolio performance and risk metrics.

Client Relationship Management

• Ensure transparent communication regarding investment strategy and portfolio performance. Oversee preparation of client reports, presentations, and disclosures. Address client grievances and ensure resolution within regulatory timelines.

Governance & Risk Management

• Establish internal controls for portfolio construction, execution, and compliance monitoring. Conduct periodic portfolio reviews and risk assessments. Identify and mitigate operational, investment, and compliance risks.

Eligibility & Qualification:

Professional qualification in Finance, Law, Accountancy, Business Management, CFA, or NISM-recognized Post Graduate Program in Securities Market (Portfolio Management). Minimum 5 years of experience in securities market-related activities such as Portfolio Management, Fund Management, Investment Advisory, Research Analysis, or Stock Broking. Minimum 2 years of direct experience in Portfolio Management, Fund Management, or Investment Advisory. Valid NISM Series XXI-B Certification as prescribed by SEBI. Strong understanding of capital markets, portfolio management, risk management, and regulatory frameworks.

Preferred Industry Background:

• Portfolio Management Services (PMS) Asset Management Companies (AMC) Wealth Management Firms Investment Advisory Firms Alternative Investment Funds (AIF) Capital Market Institutions

Location: Indore MP

Experience: 5+ Years

Industry: Wealth Management | Asset Management | PMS | Investment Advisory | Capital Markets