Principal officer- Investment Advisory

EDGE Executive Search; Mumbai; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

EDGE Executive Search is seeking an experienced Principal Officer to oversee the investment advisory and compliance functions, ensuring alignment with SEBI regulations and internal compliance requirements across the platform.

You will work closely with Product, Technology, UX/UI and Business teams to embed regulatory and advisory requirements into the digital product, client onboarding, disclosures and documentation, and to review processes and controls.

Responsibilities

• Act as the Principal Officer for the investment advisory business, as applicable.
• 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 appropriate disclosures, agreements, communications, and advisory-related documentation.
• Monitor regulatory changes and assess their impact on the product.
• Work with Product, Technology, UX/UI, and Business teams to incorporate regulatory requirements into the digital product.
• Review digital product features, customer journeys, workflows, and interfaces from a compliance perspective.
• Provide compliance inputs during product development, feature launches, and product enhancements.
• Understand the product roadmap and ensure regulatory requirements are considered during planning and execution.
• Identify potential compliance gaps in the digital product and coordinate with Product and Technology teams to implement corrective measures.
• Coordinate with internal and external stakeholders on regulatory, compliance, and product-related matters.

Job description

About the Role

We are looking for an experienced Principal Officer to oversee the investment advisory and compliance functions. The candidate will be responsible for ensuring that the platform's investment advisory activities are aligned with applicable SEBI regulations and internal compliance requirements.

The role will also involve working closely with Product, Technology, UX/UI, and Business teams to ensure that regulatory and investment-advisory requirements are effectively incorporated into the digital product and customer journey.

Key Responsibilities

• 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
• 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.