AUREUS 360

Company Description: Aureus 360 - Registered Investment Adviser (proposed) Location: Mumbai, India (Hybrid) Employment Type: Full-Time (Key Managerial Personnel) with Equity Stake Are you a seasoned equity expert with a passion for creating long term wealth for clients? Aureus 360 is launching an exciting new technology-enabled Wealth Advisory firm in India, and we're seeking a dynamic Principal Officer to lead the charge. If you have a proven track in the Investment Advisory business, this is your opportunity to become part of an entrepreneurial team to build a firm which will provide exceptional returns for our clients. Role Description: The Principal Officer is the designated key managerial person responsible for overall management, regulatory compliance, governance, and supervision of investment advisory activities of the Corporate Registered Investment Adviser. The role carries direct accountability to SEBI for adherence to the SEBI (Investment Advisers) Regulations, 2013 , circulars, and applicable laws. Responsibilities may evolve based on changes in regulations or business structure. Key Responsibilities 1. Principal Officer Responsibilities Investment Advisory Oversight Oversee formulation and delivery of investment advice in accordance with client risk profiling, suitability norms, and fiduciary principles. Ensure investment advice is independent, unbiased, and conflict-free . Approve advisory frameworks, asset allocation models, and recommendation processes. Ensure segregation of advisory and distribution activities , if applicable. Business & Operational Governance Establish internal policies, SOPs, and control mechanisms. Supervise advisory team and ensure compliance with certification and training requirements. Ensure accurate maintenance of client records, advisory rationale, and documentation. Represent the firm before SEBI, auditors, and other regulatory bodies. 2. Compliance Officer Responsibilities Regulatory Compliance Ensure continuous compliance with SEBI (Investment Advisers) Regulations, 2013 , amendments, and SEBI circulars. Act as the nodal point of contact with SEBI , including inspections, notices, and correspondence. Monitor compliance with: Client-level segregation norms Fee caps and billing disclosures Risk profiling and suitability requirements Code of Conduct and fiduciary obligations Monitoring, Reporting & Audits Conduct periodic internal compliance reviews and gap analysis. Ensure timely submission of regulatory filings, reports, and disclosures to SEBI. Coordinate annual compliance audits and address audit observations. Maintain compliance manuals, registers, and statutory records. 3. Risk Management & Grievance Redressal Identify and mitigate regulatory, operational, and reputational risks. Establish and oversee the Investor Grievance Redressal Mechanism . Ensure prompt resolution of client complaints within prescribed timelines. Monitor outsourcing arrangements, if any, in line with SEBI guidelines. 4. Client & Ethical Responsibilities Ensure transparent disclosure of: Fees and compensation structure Conflicts of interest Limitations of advice and risks involved Uphold fiduciary duty and high ethical standards at all times. Ensure confidentiality and protection of client data. Eligibility & Regulatory Requirements Educational Qualifications Postgraduate degree in Finance, Economics, Business Management, Accounting, Capital Markets , or related field; OR Professional qualification such as CA, CFA, CS, ICWA, MBA (Finance) . Mandatory Certifications NISM-Series-X-A: Investment Adviser (Level 1) NISM-Series-X-B: Investment Adviser (Level 2) Ongoing Continuing Professional Education (CPE) as mandated by SEBI/NISM. Experience Minimum 5 years of experience in investment advisory, portfolio management, wealth management, compliance, or capital markets. Prior experience in a regulated financial entity preferred. Key Skills & Competencies In-depth knowledge of SEBI IA Regulations and compliance frameworks Strong analytical, documentation, and audit-handling skills High integrity and fiduciary mindset Leadership and stakeholder management capability Strong written and verbal communication skills Existing Individual RIA are also welcome to apply Authority & Accountability Authority to approve advisory policies, compliance reports, and regulatory submissions Power to halt advisory activities in case of material non-compliance Direct accountability to SEBI and the Board of Directors/ Partners Key Performance Indicators (KPIs) Zero material regulatory violations Timely completion of SEBI filings and audits Effective grievance resolution Compliance with fee, segregation, and suitability norms Quality and consistency of advisory processes What We Offer: · 5% equity stake in the firm · Remuneration as per Industry standards · Opportunity to build and lead a growth-oriented team from the ground up in a collaborative, innovative environment. · Professional development support, including access to conferences and advanced training. · Work-life balance with flexible hours If you're ready to take your career to the next level and drive Aureus 360 to new heights, apply now! Send your resume and a cover letter highlighting your relevant experience to connect@aureus360.in . We encourage applications from diverse backgrounds.