Urgently hiring for SEBI Registered investment Advisor (RIA)

 Principal Officer (PO) – GIFT City

Location: GIFT City, Gandhinagar, Gujarat

Experience:- Minimum 5 Years

CTC:- ₹15-20

Job Description

We are looking for an experienced Principal Officer (PO) with a strong background in Financial Services, Fund Management, Investment Management or Capital Markets.

The candidate will be responsible for overseeing financial operations, ensuring regulatory compliance, and managing activities in accordance with applicable IFSCA regulations and guidelines.

Key Responsibilities

- Oversee fund management and financial services activities.

- Ensure compliance with applicable IFSCA regulations and guidelines.

- Monitor investment operations and financial activities.

- Handle regulatory reporting and documentation.

- Coordinate with internal teams and regulatory authorities.

- Support risk management and corporate governance activities.

Required Qualifications & Experience

- CA / CS / CMA / CFA / FRM / MBA Finance or relevant postgraduate qualification in Finance, Banking, Commerce, Economics, Law or Business Management.

- Minimum 5 years of relevant experience in Securities Markets or Financial Products.

- Experience in Fund Management, Investment Banking, Portfolio Management or Capital Markets.

- Knowledge of financial regulations and regulatory compliance.

- Relevant IFSCA-specified certification, wherever applicable.

Additional Eligibility: Candidates with at least 15 years of relevant Fund Management experience may also qualify with a Bachelor's Degree in any discipline, subject to applicable IFSCA regulations.

Interested candidates meeting the eligibility criteria are encouraged to apply.

Location: GIFT City, Gandhinagar, Gujarat Experience: Minimum 5 Years Job Summary We are looking for a qualified and experienced Principal Officer to oversee regulatory compliance, fund management activities and operational requirements in GIFT City. The ideal candidate should have relevant experience in securities markets, financial products, fund management or financial services, along with an understanding of IFSCA regulations. Roles & Responsibilities 1 Oversee and monitor compliance with applicable IFSCA regulations, guidelines and regulatory requirements. 2 Ensure that fund management activities and operations are conducted in accordance with applicable regulatory frameworks. 3 Monitor investor onboarding, KYC (Know Your Customer), AML (Anti-Money Laundering) and due diligence processes. 4 Oversee preparation and submission of regulatory reports, returns and filings within prescribed timelines. 5 Coordinate with IFSCA, auditors, fund administrators, legal advisors and other relevant stakeholders on regulatory matters. 6 Monitor changes in regulatory requirements and ensure timely implementation within the organization. 7 Identify compliance risks, gaps and potential regulatory issues, and recommend appropriate corrective actions. 8 Maintain regulatory records, compliance documentation, policies and procedures. 9 Support internal and external audits, regulatory inspections and information requests from regulatory authorities. 10 Ensure appropriate investor protection, transparency and governance practices. 11 Coordinate with internal teams to ensure smooth execution of fund management and compliance-related activities. 12 Report significant compliance matters to senior management and monitor their resolution. Qualification Requirements A professional qualification, postgraduate degree, or postgraduate diploma of at least one year in Finance, Law, Accountancy, Business Management, Commerce, Economics, Capital Markets, Banking, Insurance or Actuarial Science. • Recognised professional qualifications include CA, CS, CMA and equivalent foreign qualifications. • Alternatively, CFA, FRM or any other relevant qualification specified by IFSCA may be accepted. • A candidate with at least 15 years of relevant Fund Management experience may qualify with a Bachelor's Degree in any discipline. Experience Requirements • At least 5 years of relevant experience in securities markets or financial products at an eligible institution. • Minimum 3 years of post-qualification experience in an eligible institution, along with valid IFSCA-specified certification, for Principal Officer and Fund Management Key Managerial Personnel (KMPs). Page 1 Eligible Institutions for Relevant Experience • Market infrastructure institutions, capital market intermediaries, financial sector regulators, Fund Management Entities (FMEs), banks, finance companies, insurance companies and insurance intermediaries in an IFSC, in India or in foreign jurisdictions. • Consulting/advisory firms, CA firms, CS firms and CMA firms providing services relating to financial products to the institutions listed above. • Finance, accounts, secretarial or legal departments of private or public companies