Principal Officer

Job Description: Principal Officer

Location: GIFT Gandhinagar, Gujarat

Responsibilities:

1. Regulatory & Compliance: - Monitor end-to-end regulatory compliance with IFSCA, SEBI, RBI, and other applicable frameworks. - Oversee accurate and timely filing of all regulatory reports, audits, and disclosures. - Ensure all employees of the CMI adhere to relevant regulatory obligations and internal compliance standards.

2. Client Relationship & Suitability: - Oversee the onboarding process to ensure adherence to Know Your Client (KYC) norms and risk profiling. - Ensure that investment advice and product recommendations align with clients’ goals and regulatory standards.

3. Advisory Oversight: - Review investment strategies, financial plans, and product suitability matrices.

4. Operational Oversight: - Monitor day-to-day functioning of the GIFT City unit including fund flows, client onboarding, and transaction processing. - Identify areas for improvement and implement operational enhancements as needed.

5. Strategic & Operational Leadership: - Participate in business strategy discussions and contribute to the growth and operational efficiency of the advisory division.

6. Documentation & Record Maintenance: - Ensure all client interactions, advisory documentation, and financial planning records are maintained per IFSCA’s retention policies.

7. Other Tasks: - Undertake any other responsibilities or tasks assigned by management, as required.

Qualifications:

● A professional qualification or Post-graduate degree in finance, commerce, business management or related discipline from a recognized university/institution.

● Clear understanding of IFSCA rules & regulations and compliance requirements applicable to Investment Advisers.

● Minimum of 3 years of experience in similar roles within the financial services industry, preferably working with GIFT City, AIF/PMS regulations, and offshore structures.

● Excellent communication and interpersonal skills, with the ability to interact with internal stakeholders, regulatory authorities, and external auditors.

● Proven ability to work independently, manage multiple tasks, and prioritize workload effectively.

● Must meet the “fit and proper person” criteria as specified by IFSCA.

Join Our Team:

If you are a qualified Candidate with a passion for regulatory compliance, operational leadership, and client-centric advisory practices, we welcome you to join our fast-growing and future-focused team. As our Principal Officer, you will play a key role in shaping the regulatory integrity and operational success of our GIFT City unit.

Job Type: Full-time

Pay: ₹300,000.00 - ₹550,000.00 per year

Work Location: In person