Company Description:
Aureus 360 -
Location: Mumbai, India (Hybrid)
Employment Type: Full-Time (Key Managerial Personnel) with Equity Stake
Aureus 360
Role Description:
designated key managerial person
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
connect@aureus360.in
We encourage applications from diverse backgrounds.
