Principal Officer - Capital Markets (5-8 yrs)

Principal Officer

- The Principal Officer will lead the organization's activities under the IFSCA Capital Markets Distributor License, ensuring regulatory compliance, managing client relationships, and supporting business growth.

- This role requires a strategic leader who understands regulatory frameworks, capital markets, and risk management.

Key Responsibilities:

Regulatory Compliance:

- Ensure all activities comply with the IFSCA regulatory framework, including guidelines for distributors of capital markets products.

- Oversee AML/CFT compliance, KYC processes, and adherence to applicable SEBI, FEMA, and IFSCA regulations.

- Managethe company's compliance policies, ensure timely regulatory filings, and address queries from regulators.

Client & Business Operations:

- Oversee day-to-day operations under the Capital Markets Distributor License, ensuring seamless client service.

- Reviewand resolve investor queries and complaints promptly, ensuring superior client satisfaction.

- Maintain records and processes for compliance audits and reviews.

Risk Management:

- Develop and implement robust systems for tracking and mitigating risks related to distributor activities.

- Monitor regulatory and financial crime risks and enforce internal controls.

Business Growth:

- Identify opportunities to expand the company's distribution network and improve service offerings.

- Actively contribute to strategic discussions to grow the company's footprint in capital markets distribution.

Leadership & Representation:

- Represent the organization at seminars, industry forums, and community meetings.

- Collaborate with internal teams, including compliance, legal, and operations, to achieve business objectives.