Principal Officer

Role & responsibilities

1. Client Engagement: Guarantee client-centric engagements, remaining aligned with the RIA's fiduciary obligations. This could involve initial consultations, discerning client needs, and advising appropriate investment avenues.

2. Regulatory Compliance: A non-negotiable duty is upholding all SEBI regulations, ensuring all client communication, documentation, and advisory actions are in strict accordance.

3. Liaison with SEBI: Serve as the primary contact for SEBI, taking charge of all mandatory filings, reports, and disclosures.

4. Content and Marketing: Contribute to the development of content and marketing strategies by creating research-driven content related to the securities market. Manage and enhance the company's social media presence to drive user acquisition and engagement.

Note: SEBI RIA regulations are fluid, with potential for updates. The roles and duties would shift accordingly.

Preferred candidate profile

Qualifications:

• A graduate or postgraduate degree from a recognized university or institution in the field of finance or a related discipline.

Certifications:

• NISM Series X-A: Investment Adviser (Level 1) Certification Examination.
• NISM Series X-B: Investment Adviser (Level 2) Certification Examination.